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Associate - Regulatory Reporting - Electronic Blue Sheet (EBS) Team

0.00 to 2.00 Years   Mumbai City   16 Aug, 2022
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaFinance / Accounts / Tax
EmploymentTypeFull-time

Job Description

    *Job DescriptionDivision: Legal & Compliance (LCD)Super - Department: ComplianceDepartment: SurveillanceSub-Department: Regulatory Reporting - Electronic Blue Sheet (EBS) Team Region: AMER Job Level: Analyst/ Associate Job Title: Analyst/ 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.Electronic Blue Sheet (EBS) is an electronic submission of trading data to the Firm s US securities regulators (e.g. the Securities & Exchange Commission, FINRA and other Self-Regulatory Organizations). Electronic Blue Sheet team handles the intake, tracking, submission, and verification of the Firm s Blue sheet request submissions. In addition, team is also responsible for assisting the U.S. RIG team with document productions. The EBS Analyst/Associate will primarily be responsible for Managing the intake of regulatory inquiries for assignment across the team Entering each Blue Sheet request into Firm s tracking system Submitting the request into the Firm s Blue Sheet submission system Confirm the transmission was accepted by the Regulators and close out the requests accordingly Work with NY Compliance staff and Technology team as required Extract and analyze basic firm books and records, primarily focusing on client related documentation, *RequirementsExperience 0 -6 years of relevant working experience in the financial services industry in Compliance or with a securities exchange or securities regulator; Preference will be given to candidates with relevant experience in managing regulatory enquiriesKnowledge Knowledge of global markets / market regulations. Should possess knowledge of trade booking and settlements Skills and Qualities Ability to multi-task and handle a high volume of work Excellent attention to detail Proficiency in Microsoft Office Coverage Monday to Friday from 01:30PM to 10:30PM India time with flexibility on standard working hours for time sensitive matters (including India Public Holidays)

Keyskills :
crime preventionwealth managementregulatory reportingrisk managementglobal complianceinvestment managementinvestment bankingcontinuous monitoring

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