Morgan Stanley

Director - Training (Legal and Compliance)

Posted On

June 21, 2024

Location

Mumbai, Maharashtra

Experience Level

Freshers/Experienced

Job Type

Permanent

Apply By

July 10, 2024

Job Description

Description - External
Division: Legal & Compliance (LCD)
Super - Department: AMER Global Compliance Training
Department: Compliance
Sub-Department: Compliance
Region: AMER
Job Level: Director
Job Title: Manager - Global Compliance Training
Employment Type: Full Time
Location: Mumbai (Nirlon Knowledge Park)

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: Global Compliance Training
The Global Compliance team oversees the Compliance training functions across Morgan Stanley businesses globally. A permanent role within the Global Compliance Central Training team to assist with day-to-day processing and data reconciliation. The team is responsible for providing guidance and ensuring adherence of the Firm's Mandatory Training Governance Program in accordance with the Global Compliance Training Policy and Procedure Plan.

The team's activities fall into the categories of activities noted below:
Development and delivery of all Compliance training across Morgan Stanley
Oversight and management of Compliance Training Policies and Procedures

Primary Responsibilities

Coordination of global compliance training logistics via the Learning Management System (LMS) including data integrity, online training, Instructor Led Training (ILT) and other activities related to course rollouts including but not limited to: creation of courses on the Firms internal Training system (CSOD), tracking and uploading attendance data;; tracking of training delinquencies
Interaction with key stakeholders including, Compliance offshore, Compliance Coverage and Business Unit (BU)/Regional Teams, Human Resources (HR) and various Information Technology (IT) teams
Ongoing update and refresh of team procedures documenting processes
Management of the Outlook Shared Inbox, SharePoint, ServiceNow, and Global Training Shared Drive
Administration of all Global Compliance training deliverables and work collaboratively with HR to monitor quarterly bundle progress
Assist with the Global Compliance New Hire Training: assignments, populations, documentation, reporting and rehire process
Conducts new hire and ongoing training for the regional team leads on standard LMS functionality, processes, and reporting
Provides global training metrics reports for submission to senior management, Global Compliance Committee and Audit Committee. Perform quarterly reviews on compliance training to ensure that the content is up to date and relevant
Respond to daily non-technical support issues/inquiries regarding Compliance trainings, following appropriate escalation paths
Create, edit and schedule training reports to monitor various training initiatives
Respond to routine requests for documents and training histories
Participate in other projects as assigned (Spring Global Rollout, LM-10, etc.)
Collaborate with vendors and SMEs to define project requirements, scopes and objectives and ensure that projects are in conformance within timeline and deliverable requirements

Requirements

University graduate, equivalent degree, or work experience
8+ years of experience in a training function
Excellent consulting skills, (e.g., critical thinking, problem solving, decision making, and influencing
Excellent organization skills and ability to multi-task in a dynamic, fast paced environment
Ability to work independently with minimal supervision, but also in a team environment
Strong attention to detail
Strong Project Management skills
Experience with Learning Management Systems (LMS)
Strong interpersonal skills and the ability to work with cross-functional teams across the firm globally, including interaction with senior management
Familiarity with adult learning theories and course development software
Professionally and articulate

Skills and Qualities

Strong computer and software skills; proficient in Microsoft Office: Word, Excel and PowerPoint
Intermediate to advanced Excel, advanced V-look up essential, some basic Macro skills would be an advantage

Coverage

Monday to Friday from 1:30 PM to 10:30 PM India time with flexibility on standard working hours for time sensitive matters (may include India Public Holidays).
Periodic calls with AMER internal clients

"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."

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