Wealth Management Compliance Monitoring Officer
Mumbai (Nirlon Knowledge Park)
Department: WM Surveilliance
The candidate will join Morgan Stanley Wealth Management?s Compliance Department as a member of the Monitoring Compliance team. The Monitoring Compliance team acts in an oversight capacity and as a second line of defense where Monitoring Officers (MOs) conduct transactional and other monitoring reviews using a variety of exception reports and automated surveillance system alerts to identify account and/or Financial Advisor activity that may be indicative of unusual conduct, trading patterns, or potential violations of law, regulations, or internal policies.
? Independent review, re-performance and trend analysis of accounts, clients and Financial Advisors identified by supervisory alerts as warranting additional review for potential sales practice, market manipulation, and suitability concerns.
? Recommend corrective action plans to rectify substantial sales practice and suitability issues identified through re-performance.
? Provide advice and guidance on Compliance policies, securities regulations and suitability issues to the Complex and Regional Risk Officers.
? Develop and conduct training on supervisory reviews and other Compliance related issues for Complex and Regional Risk Officers.
? Identify Complex/Regional issues through the analysis and assessment of metrics, key performance indicators (KPIs) and other tools.
? Evaluate trading activity for clients and Financial Advisors in order to identify potential insider trading and/or market manipulation.
? Be able to identify, escalate and act upon significant risks/themes identified through the course of monitoring
Level of Education
(Type and # of Years)
Series 7, 24 or 9/10 preferred but not required.
Job responsibilities: Assist with the daily accounting needs of the organization. Processing accounts payable, bank deposits, assisting with payroll processing....Apply For This Job
Job Description 1)Support duties related to accounts payable and accounts receivable functions2)Assist with preparation of financial and statistical statements and...Apply For This Job
We are having urgent requirement for Financial Executive . Sector – Automobiles Education – Any Graduate OR MBA finance Freshers...Apply For This Job
Job Type Full Time Job Description We are looking Accountant (Sage 300) Jobs in Chennai 2+ years experience in accounting...Apply For This Job
Job Description A. Sourcing and Business Generation Business scoping of geographical market for farming and rural community Sourcing proposals from...Apply For This Job
We are looking for a Customer Care Executive to resolve queries and complaints over email and phone. The candidate should...Apply For This Job