Compliance Mumbai – Compliance Surveillance Professional
Position Description
Core Compliance Surveillance Professional - Analyst
India Core Compliance ("ICC") team is an extended arm of Asia Pacific Core Compliance ("APCC") based in Hong Kong. APCC covers Corporate Disclosures and Licensing, Employee Trading, Trade Surveillance, Regulatory Inquiries, Content Delivery, and Policy Development.
ICC is primarily responsible for performing Employee Trading Compliance for Asia Pacific and Trade Surveillance for various jurisdictions within the region to ensure compliance with laws, regulations, rules and internal policies and procedures.
The incumbent will not only get involved in Trade Surveillance and Employee Trading compliance activities but also get the opportunity to participate in the wider activities of APCC and is expected to make contributions outside of the specific scope of their role.
The role reports directly to the head of ICC and functionally to the head of APCC. The position is located in Mumbai.
Overview of Role
The Core Compliance Surveillance Professional will have several areas of responsibility including, but not limited to, following:
Employee trading
• Advise on employee trading policies and procedures;
• Review and approve outside business interests for conflict of interest matters;
• Follow up on outside account statements for completeness;
• Prepare periodic management report metrics for various Senior Management of Business Units; and
• Review employee trades and identify violations to the applicable policies.
Trade Surveillance
• Monitor development in regulatory requirements and adjust surveillance models accordingly;
• Review and analyze trade surveillance reports and vendor surveillance system alerts, and complete relevant checklists related to employee, client and firm trading activities;
• Conduct investigations on irregularities and abnormal activities and document findings;
• 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; and
• Document detailed surveillance steps in surveillance procedures manuals.
Interaction with IT
• Work with IT and / or vendors in developing new tools;
• Participate in User Acceptance Testing of new models/reports; and
• Assess adequacy and effectiveness of surveillance and enhance existing surveillance models.
Experience Required
- 4 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 Employee Trading Compliance or Trade Surveillance; and
- Knowledge of trade booking and settlements for Asia Pacific markets is helpful.
Skills Required
Pragmatic and analytical problem solving skills;
- Attention to detail; and
- Excellent verbal and written English communication skills
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