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, team description and day job Team Team Description Early Dispute Resolution (EDR) The position is in Morgan Stanley's Early Dispute Resolution team (EDR). EDR is a consolidated point of legal contact for Morgan Stanley complaints, regulatory and other legal matters. The offshore Legal and Compliance Department in Mumbai is a department of the Legal and Compliance Division and provides support services to the Legal and Compliance Division. Day Job This position will address issues relating to outside (non-Morgan Stanley drafted) powers of attorney viz - Analyze regulatory inquiries relating to customer complaints and prepare draft responses under the supervision of an attorney in the US. This work includes Review legal requests to determine required response. Interacting with personnel based in the US with regard to deadlines, parameters of request, and to gather any additional information needed to respond to requests. Retrieve a wide variety of documents, stored in paper and electronic form, from a variety of Firm systems and applications. Compliance with Legal Department policies and procedures for issuing litigation holds, locating documents, and keeping a record of steps taken to retrieve documents Organizing redacting and staging documents for production Prepare letters responding to requests Preparing reports and MIS Performing Quality Control & Audit checks for final delivery of requests Manage flow of daily task/requests through effective queue & SLA management Presentation to Management for updating the progress on process improvements on monthly/quarterly basis Effort related to document settlement agreements and payments for settled complaints in matter management system and liaise with accounts payable to direct payments Assist US-based attorneys handling customer complaints by (1) documenting responses to customer complaints in the Firm's matter' management system; (2) completing closing memo forms; and (3) ensuring that all required documents are saved in EDR's document repository. Requirements Experience Qualified lawyer LLB (LLM will be an added advantage) 5-6 years' post qualification experience Solid track record working in a professional environment Candidate with prior legal operations/reference data background will be an added advantage Candidate with prior legal operations/reference data background will be an added advantage Knowledge Understanding of legal documents and terminologies Basic understanding and exposure to mortgage transactions will be an added advantage Basic understanding and exposure to general legal and estate planning concepts and terminologies will be an added advantage Should exhibit comfort working with technology and the ability to learn and display proficiency on technical systems and programs. Proficient with MS Office (Excel proficiency would be an added advantage) Knowledge of document automation, contract analysis and other legaltech software an advantage
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