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Morgan Stanley

30d ago

  • Job
    Full-time
    Entry & Junior Level
  • Legal
  • Mumbai

AI generated summary

  • You should have 0-2 years in financial services, knowledge of markets and trading, strong analytical skills, industry qualifications, and excellent communication abilities.
  • You will review employee communications, conduct investigations, document processes, create reports, escalate issues, collaborate with IT on tools, and test new models or reports.

Requirements

  • Experience
  • 0-2 years of relevant working experience in the financial services industry in Compliance or internal audit or with a securities exchange or securities regulator;
  • Preference will be given to candidates with relevant experience in Electronic Communications Surveillance
  • Knowledge
  • Possess excellent knowledge of financial instruments and markets.
  • Basic understanding and knowledge of trading mechanisms across different financial instruments/ markets.
  • Should possess knowledge of trade booking and settlements
  • Skills and Qualities
  • Industry Qualifications I.e. Post Graduate / MBA In Finance
  • Knowledge of global markets / market regulations
  • Desirable up to 12 months experience in a similar profile/industry.
  • Understanding the implications of risk involved.
  • Excellent verbal and written English communication skills - ability to effectively correspond with various groups and senior professionals over email and the telephone
  • Strong Analytical Skills and attention to detail
  • Experience interpreting laws or regulations
  • Knowledge of trade booking and settlements
  • Must be able to maintain a high level of organization under pressure

Responsibilities

  • Review and sign off communication related to employee activities;
  • Conduct investigations on irregularities and abnormal activities and document findings;
  • Participate in defining and documenting the operating processes for processing Monitoring reports;
  • Help the senior manager in making the team and processes more efficient;
  • Create Management Information Reports on a periodic basis;
  • 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.
  • Work with IT and / or vendors in enhancing/ developing new tools
  • Participate in testing/ requirement drafting of new models/reports

FAQs

What is the location of the Analyst position?

The Analyst position is located in Mumbai at COMMERZ III, Oberoi Garden City.

What are the primary responsibilities of the Surveillance Analyst?

The primary responsibilities of the Surveillance Analyst include reviewing and signing off communications related to employee activities, conducting investigations on irregularities, documenting findings, defining and documenting operating processes, creating management information reports, and escalating unresolved issues or potential violations to management.

What qualifications are required for the Analyst position?

A Bachelor's degree is required, and preference will be given to candidates with a Post Graduate or MBA in Finance.

How much relevant working experience is required for this role?

The role requires 0-2 years of relevant working experience in the financial services industry, particularly in Compliance, internal audit, or experience with a securities exchange or securities regulator.

What skills are essential for the Analyst position?

Essential skills include strong analytical skills and attention to detail, excellent verbal and written English communication skills, and the ability to maintain high levels of organization under pressure.

Is there any flexibility in working hours?

Yes, there is flexibility in standard working hours for time-sensitive matters, including during India Public Holidays.

Does Morgan Stanley offer equal employment opportunities?

Yes, Morgan Stanley is an equal opportunities employer and is committed to creating a supportive and inclusive environment for all individuals.

What are the expected working hours for this position?

The expected working hours are Monday to Friday from 09:00 AM to 6:00 PM India time.

What tools will the analyst be required to work with?

The analyst will work with IT and vendors to enhance or develop new tools and participate in testing or requirement drafting of new models/reports.

What types of investigations will the Analyst be involved in?

The Analyst will conduct investigations on irregularities and abnormal activities, looking for breaches to internal policies and/or regulatory requirements by Financial Advisors, Fund Managers, Traders, and Institutional Clients.

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Morgan Stanley

Finance
Industry
10,001+
Employees
1935
Founded Year

Mission & Purpose

Morgan Stanley mobilizes capital to help governments, corporations, institutions and individuals around the world achieve their financial goals. For over 85 years, the firm’s reputation for using innovative thinking to solve complex problems has been well earned and rarely matched. A consistent industry leader throughout decades of dramatic change in modern finance, Morgan Stanley will continue to break new ground in advising, serving and providing new opportunities for its clients. Morgan Stanley is committed to maintaining the first-class service and high standard of excellence that have always defined the firm. At its foundation are five core values — put clients first, do the right thing, lead with exceptional ideas, commit to diversity and inclusion, and give back — that guide its more than 70,000+ employees across 41 countries.