Division: Legal & Compliance Job Title: VCO & U.S. Core Compliance - Compliance Professional Location: Mumbai Job Level: Director Company Profile 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. Department Profile Legal and Compliance Legal & Compliance Division 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), 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 Background on the Team The Volcker Central Office (VCO) oversees Morgan Stanley's Enhanced Compliance Program, as required under the Volcker Rule. The Volcker Rule, part of the Dodd-Frank Wall Street Reform and Consumer Protection Act, is a multi-agency regulation that covers all the Firm's global operations including but not limited to Institutional Securities, Investment Management, Wealth Management, and related control and infrastructure functions. ISG U.S. Core Compliance is responsible for, among other things: (i) facilitating the preparation and filing of multiple global Swap Dealer (SD) and Security-Based Swap Dealer, Futures Commission Merchant and Broker-Dealer regulatory Annual Compliance Reports; (ii) monitoring regulatory developments from U.S. securities and futures regulators and self-regulatory organizations; (iii) maintaining an updated inventory of prioritized rules and regulations for certain key jurisdictions and U. S. ISG business units; (iv) assisting LCD coverage personnel and business units to maintain, update and distribute ISG Americas Compliance policies and procedures; (v)coordinating certain initiatives and programs for U.S. ISG (i.e., Cross-Border, Lessons Learned, Complaints Handling, Gift & Entertainment Monitoring, and Training); and (vi)coordinating and executing on governance-related activities for the department