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Compliance Professional (Legal and Compliance)
Job Number:
3201256
POSTING DATE: Apr 25, 2022
PRIMARY LOCATION: Non-Japan Asia-India-Maharashtra-Mumbai (MSA)
EDUCATION LEVEL: Bachelor’s Degree
JOB: Compliance
EMPLOYMENT TYPE: Full Time
JOB LEVEL: Director
DESCRIPTION
MORGAN STANLEY
Job Description Form
GENERAL INFORMATION
Job Description Form
GENERAL INFORMATION
JOB TITLE:
Wealth Management Compliance Monitoring Officer
LEVEL: Director
LOCATION:
Mumbai (Nirlon Knowledge Park)
Department: WM Surveilliance
JOB DESCRIPTION
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.
Responsibilities:
? 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
QUALIFICATIONS
? 3+ years in Compliance, Legal or Risk in the securities industry.
? Exceptional oral and written communication skills.
? A strong understanding of sales practice and suitability concerns around retail products.
? Extensive knowledge of Futures, Annuities, Structured Investments, Alternative Investments, Fixed Income, Equities, Options, Unit Investment Trusts and Mutual Funds.
? Ability to exercise discretion and make decisions independently
? Proven ability to take ideas forward and to challenge others with integrity and maturity.
? Ability to thoroughly investigate and resolve issues independently.
? Ability to identify issues and trends in order to provide recommended comprehensive solutions and remedies.
? Ability to see an assignment through from conception through completion.
? Ability to organize and prioritize work and meet deadlines.
? A strong focus on the mechanics of a control environment including escalation and remediation of sales practice/suitability issues.
? Exceptional oral and written communication skills.
? A strong understanding of sales practice and suitability concerns around retail products.
? Extensive knowledge of Futures, Annuities, Structured Investments, Alternative Investments, Fixed Income, Equities, Options, Unit Investment Trusts and Mutual Funds.
? Ability to exercise discretion and make decisions independently
? Proven ability to take ideas forward and to challenge others with integrity and maturity.
? Ability to thoroughly investigate and resolve issues independently.
? Ability to identify issues and trends in order to provide recommended comprehensive solutions and remedies.
? Ability to see an assignment through from conception through completion.
? Ability to organize and prioritize work and meet deadlines.
? A strong focus on the mechanics of a control environment including escalation and remediation of sales practice/suitability issues.
Level of Education
Bachelors
Experience
(Type and # of Years)
3-5
Licenses/Certifications
Series 7, 24 or 9/10 preferred but not required.
