Associate -ACG

Job Description

*Job DescriptionDivision: Legal & Compliance (LCD) Super - Department: Global Financial Crimes [GFC]Department: Financial CrimesSub-Department: Financial CrimesRegion: GlobalJob Level: AssociateJob Title: ACG AssociateEmployment Type: Full TimeLocation: Mumbai (Nirlon Knowledge Park)Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firms 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.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.Background to the team The Anti-Corruption Compliance Group (ACG) administers the Firm s global anti-corruption program, which includes policies, procedures, and internal controls reasonably designed to comply with applicable anti-corruption laws, including the U.S. Foreign Corrupt Practices Act and the U.K. Bribery Act, and regulations in the jurisdictions in which the Firm operates. The Government and Political Activities Compliance Group (GPAC) focuses on compliance with U.S. federal, state, and municipal regulations governing interactions with U.S. government officials, including political contribution/pay-to-play regulations, lobbying laws, and gifts and entertainment/ethics rules across all of Morgan Stanley s various Business Units. GPAC designs, executes, and monitors policies, procedures, and controls governing employees political activities and interactions with U.S. government officials. The Anti-Tax Evasion Group (ATE) administers the Firm s global anti-tax evasion program, which includes policies, procedures, and internal controls reasonably designed to prevent the Firm and anyone acting on its behalf from engaging in activities that knowingly facilitate criminal tax evasion. Primary Responsibilities (Day Job)The Analyst will support the following Perform gift and entertainment-related pre-clearance and monitoring activities, including:o Conducting expense reimbursement monitoring in order to support administration of pre-clearance requirements in the Firm s Global Anti-Corruption Policy; o Conducting expense reimbursement aggregations for monitoring purposes;o Assisting ACG/GPAC with employee pre-clearance requests for gifts and entertainment of certain government and private clients;o Assisting ACG/GPAC in identifying, escalating, and documenting policy violations; ando Supporting processes designed to identify government-related clients and activities. Support ACG and ATE s third party controls including:o Maintaining a portfolio of negative news monitoring subjects; o Performing first-level reviews of negative news alerts; o Assisting ACG/ATE with identifying and assigning third party oversight-related employee training. o Reviewing escalations from other Firm functions that relate to potential third parties subject to ACG/ATE review Perform political contributions-related monitoring activities by, among other things, reviewing political contribution exception reports in order to identify, escalate, and document policy violations. Perform additional ACG/ATE/GPAC compliance activities, including:o Support ACG/ATE/GPAC core compliance processes, including compiling periodic and ad hoc metrics;o Organize and maintain ACG/ATE/GPAC document repositories and procedures;o Coordinating with technology partners to maintain relevant systems and controls; ando Providing analytical and organizational support in the development and implementation of ACG/ATE/GPAC initiatives., *RequirementsExperience Up to 5 years of Corporate Intelligence, due diligence; experience in the financial or professional services industries. Solid track record working in a professional environment. Bachelor s degree from an accredited college / university. Knowledge Understanding of AML / KYC Should exhibit comfort working with technology and the ability to learn and display proficiency on technical systems and programs. Proficient with MS Office Skills and Qualities Demonstrate a high level of attention to detail. Possess strong written and verbal communication skills, with ability to demonstrate sound reasoning. Have excellent interpersonal skills and the ability to work effectively with colleagues across the Firm. Ability to work as part of a team and adapt to the needs of the team as they arise. Ability to anticipate ahead of time and escalate issues and issues appropriately. Pragmatic and analytical problem solving skills - consistently apply sound judgment. Successfully meet established deadline requirements display efficient time management skills and work to tight deadlines. Experience in stakeholder management with excellent interpersonal skills and the ability to work effectively with colleagues across regions and Business Units. Ability to identify and recommend process efficiencies. Coverage Monday to Friday from 9 AM to 6 PM India time with flexibility on standard working hours for time sensitive matters (including India Public Holidays).

Keyskills :
ms officeprivate clientscenter of excellencewealth managementtime managementwork effectivelymusic makingdue diligencerisk managementproblem solvingcrime preventionglobal compliancemanagement skills