Morgan Stanley

Compliance Professional (Legal and Compliance) : Job Level - Director

Posted On

July 2, 2025

Location

Mumbai, Maharashtra

Experience Level

Freshers/Experienced

Job Type

Permanent

Apply By

Aug. 13, 2025

Job Description

Background on the Position :

We are looking to recruit a Director (AVP equivalent) within the Compliance department with Coverage responsibility for India Global Centre. The role will be based in Mumbai. It is expected the Compliance individual will help raise compliance standards across the Firm in the relevant coverage areas, helping ensure consistency where appropriate compliance processes and controls.

It is an independent second line of defense providing oversight, challenge and advisory related to compliance and integrated risk management

Key responsibilities include :

Working closely with India senior management and Asia Pacific Legal and Compliance Division management
Ensuring internal stakeholders, colleagues and staff are informed of relevant legal and regulatory developments and their implications, particularly as relates to the Firm's offshoring operations in India
Advisory - Provide advice and guidance on regulatory interpretation and compliance issues with specific focus on STPI and related regulations. Having understanding of GFT, MCA, FTP, Indian customs, basic knowledge of Data Privacy, will be an added advantage
Contact with regulators and auditors
Communicating with local regulators and maintaining regulatory relationships:
Liaising with internal clients, outside legal counsel, colleagues and staff to manage regulatory risk, including local licensing and regulatory issues and compliance with relevant laws and regulations
Coordinating with external vendors on compliance issues
Review/prepare license applications etc.
Liaise with internal and external lawyers / experts for advice and opinions on various regulatory issues; and
Participating in industry working groups.
Assist in defining an evolving annual Book of Work which is regularly reviewed with the senior stakeholders
Compliance policies and procedures - Review manuals and Compliance Notices to ensure they are properly revised or updated when necessary, and draft new manuals, Compliance Notices, policies and procedures in light of regulatory or business changes.
Global / regional coordination - Develop close working relationship with global and regional counterparts within second line of defense, as well as other relevant stakeholders
Strengthen engagement model with respective Compliance teams from respective sending locations
Coordinate with internal teams to deliver Global Center (GC)-wide projects
Assisting in implementation of the Firm's compliance and risk policies and procedures and dissemination of the compliance culture, Firm's core values and Code of Conduct within the Firm's offices in Mumbai and Bengaluru
Assisting in designing training materials and conducting training sessions
Assisting in compliance monitoring, test checking and reviews of the offshoring business units;
Review of Firm's requirement around Global Regulations on Outsourcing including subcontracting to 3rd parties
Review of new Inter-affiliate outsourcing proposals
Sound judgment in identifying risks in order to proactively escalate to relevant senior managers and regional LCD for attention and to manage material risk and compliance issues relating to the India Global Centre
Coordinate with internal teams to deliver Global Center (GC) wide projects and non-financial risk reviews
Assist in the enhancement of the Non-Financial Risk programme and embedding of the framework and standards
Assist in preparing Risk Dashboard and Non-Financial Risk metrics. Assist in reporting to the Board and Risk Committees Skills Required :
Minimum industry experience of 7 to 11 years, ideally in Compliance and Risk Management areas with strong ethical foundation
University graduate or equivalent degree preferred, ideally in business, accounting or law
Experience in dealing with regulators and regulatory requirements
Experience and working knowledge of STPI, DOT and/or similar regulations.
Analyzing and advising on compliance issues related to financial services
Experience and knowledge of offshoring business in India.
Basic understanding of Microsoft Office
Excellent communications skills, both written and verbal
Good interpersonal skills (communication, negotiation, influencing skills, teamwork) including collaborative mindset
Strong analytical skills, detail-oriented, good team player, proficient in time management and able to manage projects
Demonstrate ability to effectively review and analyze data / situations and apply judgement to resolve issues in a timely manner
Able to make, support and defend difficult and complex regulatory / compliance decisions in a fast-paced and highly pressured environment
Well organized and practical approach to managing tasks
Structured approach to problem solving and execution skills with attention to detail.
Detail oriented, self-motivated, flexible to learn and execute broader Non-financial risk requirements

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.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.

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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