Morgan Stanley

Analyst - WM Compliance Monitoring - Investment Solutions (Wealth Management)

Posted On

May 22, 2025

Location

Mumbai, Maharashtra

Experience Level

Freshers/Experienced

Job Type

Permanent

Apply By

June 18, 2025

Job Description

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.

Professionals within Investment Solutions Business Risk provide a wide range of services to our business units that are designed to assist the Firm in complying with applicable laws, rules, regulations, policies and procedures. The Wealth Management Compliance Monitoring (WMCM) Program is responsible for independent 2nd line oversight of WM Field Risk and for primary reviews that surveille for market abuse, Blue Sky and FA activity. The Monitoring team plays a critical role in providing ongoing feedback to WM Field Risk with respect to the design and implementation of controls as well as on the adequacy and effectiveness of supervisory reviews.

WMCM is seeking an experienced professional to join the Blue Sky Surveillance team. The Blue Sky team conducts transactional reviews using a variety of vendor tools and automated surveillance alerts to identify customer account and/or Financial Advisor activity that may be indicative of potential violations of Blue Sky state laws, regulations, or internal policies. Additionally, the team is responsible for the maintenance of the internal Blue Sky profiles for eligible securities as well as for providing advice and guidance in response to Field inquiries. As an integral member of a small team, the candidate will have the opportunity to make an immediate impact in maintaining the Firm's Blue Sky responsibility in accordance with regulations and internal policies.

Qualifications
> Independent review, re-performance and trend analysis of accounts, clients and Financial Advisors identified by supervisory alerts as warranting additional review for potential sales practice, product trade, and suitability concerns.
> Recommend corrective action plans to rectify substantial sales practice and suitability issues identified through re-performance.
> Provide advice and guidance on Compliance policies, securities regulations including Blue Sky State Laws and or suitability issues to the Market and Regional Risk Officers.
> Develop and conduct training on product trade reviews and other Compliance related issues for Market and Regional Risk Officers.
> Identify Market/Regional issues through the analysis and assessment of metrics, key performance indicators (KPIs) and other tools.
> Evaluate trading activity for clients and Financial Advisors in order to identify Blue Sky State Law violations including Regulation S and Rule 144A.
> Be able to identify, escalate and act upon significant risks/themes identified through the course of monitoring.
> 0.6 to 2+ years in Compliance, Legal or Risk in the securities industry.
> Proficient in navigating Bloomberg Terminal and leveraging its tools for data analysis, research and market insight.
> Exceptional oral and written communication skills.
> A strong understanding of sales practice and suitability concerns around retail products.
> Extensive knowledge of Fixed Income, Equities, Options, Closed End Funds and Mutual Funds.
> Research and analyze transactions with respect to Blue Sky laws and regulations in various states to ensure compliance for customer transactions.
> Review and update Blue Sky Securities Profiles on an as needed basis.
> Provide guidance and trade support to Financial Advisors via Blue Sky Hotline an Skills
> Outstanding attention to detail and follow-up
> Maintain solid judgment while acting in accordance with all regulatory requirements.
> Must be a service oriented, team-player eager to assist colleagues and members of the department at all levels.
> Self-motivated, innovative, hardworking individual, who can handle changing priorities and multiple tasks in a timely fashion.
> Excellent verbal and written communication skills
> Strong time management/prioritization skills and solid judgment
> Exceptional skills in Microsoft Excel
> Proficient in all Microsoft Office applications
> Knowledge of Bloomberg, Trace, EMMA, and other market pricing and valuation tools
> Knowledge of FINRA, MSRB, SEC rules and regulations

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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