Division: Legal & Compliance (LCD) Department: Surveillance Region: Global Job Level: Analyst Employment Type: Full Time Location: Mumbai (COMMERZ III, OBEROI GARDEN CITY) 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: Electronic Communications QA [Surveillance The Surveillance team performs an independent monitoring/oversight of Compliance reports that look for breaches to internal policies and/or regulatory requirements by Financial Advisors/Fund Managers/ Traders/ Institutional Clients. Examples of patterns captured in the reports are: 1. Insider Trading 2. Ramping 3. Front Running etc. Primary Responsibilities (Day Job) The Surveillance Analyst will have several areas of responsibility including, but not limited to, following: > 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. Interaction with IT > Work with IT and / or vendors in enhancing/ developing new tools > Participate in testing/ requirement drafting of new models/reports