Job Description
Division: Legal & Compliance (LCD)
Department: COE COMPLIANCE
Region: [EMEA]
Job Title: [Registration and Licensing Director]
Employment Type: Full Time
Location: Mumbai (Nirlon Knowledge Park)
Firm
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Division
LCD comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations.
The Legal Department provides guidance, requirements and procedures for understanding and complying with the laws, regulations and Firm policies that apply to our businesses.
The Global Compliance Department identifies applicable Compliance Obligations and maintains a Firmwide Compliance Risk management program, including Compliance Risks that transcend business lines, legal entities and jurisdictions of operation.
Global Financial Crimes is responsible for the development and governance of the Firm's financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti-Money Laundering (AML), Sanctions, Anti-boycott, Anti-Corruption (ACG) and Government and Political Activities Compliance (GPAC) programs.
The Global Regulatory Relations Group (GRRG) is responsible for strategic and centralized management of the supervisory activities of Morgan Stanley's regulators and related developments globally, with a focus on regulatory reviews and examinations and continuous monitoring activities. GRRG serves as the central point of contact for the regulatory staff responsible for supervisory activities at Morgan Stanley entities and for timely reporting to Firm management and other governance or management bodies, as appropriate, on those relationships and supervisory processes, including areas of significant regulatory focus or concern.
LCD Center of Excellence - Mumbai (LCD CoE) is a part of Morgan Stanley's Global In-house Center, which provides global support to LCD and is an integral part of Firm and LCD strategy.
Team: Employee Registrations
The Compliance Registrations team are responsible for the prompt implementation of internal processes and procedures to ensure that the employees, regulatory and exchange, registrations and terminations are progressed swiftly and efficiently and that the Firm is compliant with competency obligations, and specific exchange rules as related to trader registrations.
Primary Responsibilities
Analyzing, filing, maintaining, and updating qualification, and employment for all prospective and current employee
Processing exchange registration and termination requests, creating registration packs
Maintaining records for all registered employees of the Firms serviced
Perform periodic review and analysis of departmental process, procedures and policies
Demonstrate strong client-relations skills and ability to partner with business and control functions to develop practical solutions that meet business needs while remaining compliant with applicable laws and regulations
Provide advice and training to employees regarding licensing, examination requirements and continuous professional training matters
Requirements
Experience
University degree and/or professional qualification preferably in Accounting, Law, Finance or Business
The ideal candidate will have 6+ years professional experience in Financial Services with people management experience.
Skills and Qualities
Experience in resolution of issues.
Intermediate excel skills, must be proficient at look up and Pivot Tables
Good communication skills - written and oral.
Have excellent interpersonal skills and ability to work effectively with colleagues across regions and Business Units
Knowledge of licensing requirements in other jurisdictions advantageous
Experience in conducting fit and proper checks related to licensing and registrations
Possess strong analytical / reasoning skills
Ability to remain focused under pressure
Be able to handle highly confidential information professionally and with appropriate discretion
Have the ability to effectively handle a fast-paced environment and successfully meet established deadline requirements
Be self-motivated and must have the ability to work independently
Coverage
Monday to Friday from 11:30 am to 08:30 pm or 1.30 pm to 10.30 pm India time with flexibility on standard working hours for time sensitive matters (including India Public Holidays).
Periodic calls with EMEA internal clients
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.
Posting Date
Aug 5, 2024
Primary Location
Non-Japan Asia-India-Maharashtra-Mumbai (MSA)
Education Level
Bachelor's Degree
Job
Other
Employment Type
Full Time
Job Level
Director
