Division: Legal & Compliance (LCD)
Region: AMERICAS
Job Level: Associate
Job Title: SIU Paralegal
Employment Type: Full Time
Location: GIC Mumbai (CMZ3)
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 - LCD Center of Excellence - Mumbai (Legal)
The offshore Legal and Compliance Department in Mumbai is an extended arm of global Legal & Compliance teams - Litigation Support being one of such teams. This role will report to a senior level manager. Primary internal stakeholders include attorneys and compliance officers supporting Morgan Stanley's Wealth Management business, members of the Intake Unit and Litigation Support team in Mumbai and onshore.
Primary Responsibilities (Day Job)
Conduct Risk Program:
The Conduct Risk Manager will be part of a team of litigation and compliance professionals collectively responsible for the functioning of the global conduct risk program.
Locating and entering conduct risk information into the Conduct Risk Tool, the global repository for tracking conduct risk incidents
Reconciliation and reporting (including Business Objects)
Coordination with investigative teams globally, particularly in Asia and EMEA
Development of metrics and reporting relating to conduct risk incidents
Interaction and coordination within LCD to ensure appropriate execution of the Firm's enterprise-wide conduct risk program
Requirements
Experience
LLB (Lawyer)
3-5 years of experience
Solid track record working in a professional environment
Candidate with prior legal operations/reference data background are preferred
Knowledge
Understanding of legal documents and terminologies will be an added advantage
Basic understanding and exposure of US Law 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. Familiarity with BOXI and other reporting tools an added advantage
Proficient with MS Office (Excel proficiency is required - specific focus on excel macros)
Skills and Qualities
Seeking a team player who can successfully manage multiple projects and priorities
Ability to anticipate ahead of time and escalate issues as appropriate
Pragmatic and analytical problem solving skills - candidate needs to consistently apply sound judgment
Excellent verbal and written English communication skills - ability to effectively correspond with various groups and senior professionals over email and the telephone
Must be able to maintain a high level of organization under pressure
Successfully meet established deadline - display efficient time management skills
Possess the ability to research and resolve issues independently
Ability to identify and recommend process efficiencies
Attention to detail
Excellent interpersonal skills and ability to work effectively with colleagues across regions and Business Units
Have the ability to effectively handle a fast-paced environment
Coverage
Monday to Friday from 11.30AM to 8.30PM India time with flexibility on standard working hours for time sensitive matters (including India Public Holidays).
Periodic evening calls with regional stakeholders
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.