2021 Compliance Legal Summer Analyst Program (Mumbai) 2021 Compliance Legal Summer Analyst Program  …

Morgan Stanley
à Mumbai, Maharashtra, Inde
Stage, Plein-temps
Dernière candidature, 28 nov. 20
Competitive
Morgan Stanley
à Mumbai, Maharashtra, Inde
Stage, Plein-temps
Dernière candidature, 28 nov. 20
Competitive
2021 Compliance Legal Summer Analyst Program (Mumbai)
Department Profile

Legal and Compliance Department Center of Excellence ("LCDCOE") is an extended arm of different global Compliance teams. LCDCOE is responsible for executing compliance oversight including monitoring and/or testing activities across divisions such as Institutional Sales and Trading (ISG), Wealth Management (WM), Investment Management (IM) and the Global Financial Crimes (GFC) function. Specific activities managed by the LCDCOE include, but are not limited to facilitation of regulatory license applications and registrations for individuals, monitoring of firm, client and employee trades, outside business interests.

Primary Responsibilities

The Core Compliance Surveillance Analyst / Associate will have several areas of responsibility including, but not limited to, following:
• Participate in defining and documenting the operating processes for processing Monitoring models;
• Help the senior manager in making the team and processes more efficient;
• Create management information reports on a periodic basis;
• Monitor development in regulatory requirements and adjust surveillance models accordingly;
• Review and analyze trade surveillance reports and vendor surveillance system alerts, and sign off alert completion related to employee, client and firm trading activities;
• Provide advice and guidance to employees on their investing and outside activities;
• Work with IT and / or vendors in developing new tools;
• Conduct investigations on irregularities and abnormal activities and document findings; and
• Escalate unresolved issues or potential violations of the Morgan Stanley's policies or external rules and regulations to his/her manager, coverage Compliance and Senior Management of Business Units.
• Process requests for T360 (Legal) vendor on-boarding/reactivations
• Handle legal Invoice documentation and associated exceptions
• Maintenance of outside counsel database and consultant's time approval
• Information Security Assessment for law firms and other vendors
• Co-ordinate with legal and compliance employees for entitlement related reviews and associated procedures
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