Morgan Stanley

Regulatory Oversight - Associate - Investment Management

Posted On

April 7, 2025

Location

Mumbai, Maharashtra

Experience Level

Freshers/Experienced

Job Type

Permanent

Apply By

June 18, 2025

Job Description

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.

Key Responsibilities

The candidate will be responsible for performing monthly investment monitoring for regulatory purposes, including but not limited to:

Volcker Rule

Review of monthly Volcker reports across all funds to identify any missing key data attributes, variances, and to confirm compliance with applicable firm ownership thresholds. Resolve and/or escalate any missing data, notable data variances, and/or ownership threshold limits as required.
Ongoing communication and interaction with various MSIM functions to identify and resolve technical and operational issues around the ability to monitor funds effectively including:
- Proactive reconciliation of data inputs to identify and escalate issues to responsible functions. Work closely with those functions to track and ensure issues are resolved promptly.
- Proactively work with various IT teams to strengthen the strategic monitoring platform including enhancing system capabilities and usability while focused on improving data dependencies and controls.
Answer queries from and provide explanations of data discrepancies to the Business groups to enable proper review and sign-off of each month’s report.
Assist in completing quarterly monitoring processes and data controls including but not limited to legal entity population completeness, investor account and fund regulatory classifications.
Assist in continuing to enhance framework and controls for the strategic monitoring platform.
Track and request required Volcker Written Plans from the front office teams to ensure proper documentation and sign-off. Provide updates and information to the IM Volcker Management Committee, Finance, and other teams as required
Assist in preparing fund ownership and compliance metrics for the Volcker Compliance Office, Regulatory Oversight Committee, and other teams/committees as required.
Provide support to QB’s monthly sign-off process and escalations when needed.

Bank Holding Company Act Merchant Banking Monitoring

Perform in depth review of the monthly BHC report generated on the strategic system platform and work with various functions to confirm accurate data collection. Identify and implement improvements where required.
Proactively work with IT to strengthen our strategic monitoring platform which includes enhancing systems capabilities and improving data dependencies and controls.
Document and finalize formal framework of BHC monitoring system including, but not limited to, system and data controls, roles and responsibilities, scope, and process.
Assist in drafting formal procedures around BHC monitoring to be included in Compliance Policies and Procedures.
Assist in preparing and performing quarterly review of in-scope investments with the applicable investment teams.
On-going monitoring of investments required to be restructured and ownership thresholds reduced to ensure compliance with end of holding periods.
Assist in identifying in-scope investments for annual FRY 12a reporting.

The candidate will also provide support to the broader Global Regulatory Oversight Team, which includes:

Management of the day-to-day efforts related to first line of defense regulatory oversight mainly assisting in the monitoring of overall condition/status of proposed and final global regulatory rules and related projects.
Assist in overseeing the strategy, development, evaluation, implementation, and ownership of compliance solutions for active final regulations.
Assist in preparing monthly and quarterly management materials for reporting to the Regulatory Oversight Committee and Senior Management.
Maintain master regulation tracker of all Final, Proposed, and Post-Implementation regulatory initiatives to accurately identify regulations in-scope for monthly regional monitoring meetings based on compliance deadlines, RAG status ratings, and project criticality.
Assist in scheduling and preparing materials for monthly regional monitoring meetings.
Assist in monitoring of other regulatory obligations as needed.

Skills desired

Good understanding of our global business models, systems, and structures across both Public and Private Sides.
Quick learner with a drive to understand detailed process flows, as well as overall strategic considerations.
Independent self-starter who is also a collaborative problem solver.
Commitment to delivering high quality work product with a strong focus on attention to detail.
Strong organizational skills with the ability to multi-task across a range of projects with shifting priorities.
Good communication skills and ability to collaborate across functions, regions, etc.
Analytical thinker who can provide practical solutions to mitigate risk.
Strong orientation toward process and control improvement.
Financial Regulatory experience preferred.
Advanced level of Excel and Power Point skills strongly preferred.

Key qualifications

Bachelor’s Degree required and any other relevant academic course a plus
3-5 years of experience in financial services with good understanding of global business models, systems, and structures across Public and Private Sides. Financial Regulatory experience preferred.
Prior experience working in the Private equity business a plus.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize 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

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize 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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