Posted by 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.
About the Department
LCD comprises 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.
Registrations team is in charge of handling regulatory license applications and registrations for individuals across various regions, ensuring fit and properness, and having the appropriate license(s) to carry out relevant business activities regulated by regulators and handling continuous professional training matters
Primary Responsibilities
- Analyzing, filing, maintaining, and updating qualification, and employment for all prospective and current employee
- Maintaining records for all registered employees of the Firms serviced
- Perform periodic review and analysis of the departmental process, procedures, and policies
- Demonstrate strong client-relations skills and ability to partner with business and control functions to develop practical solutions that meet business needs while remaining compliant with applicable laws and regulations
- Provide advice and training to employees regarding licensing, examination requirements, and continuous professional training matters
Qualification and Experience Required
- University degree and/or professional qualification preferably in Accounting, Law, Finance or Business
- The ideal candidate will have 2+ years of professional experience in Registrations and Licensing at a financial institution
Skills and Qualities Required
- Experience in the resolution of issues.
- Good communication skills – written and oral.
- Have excellent interpersonal skills and the ability to work effectively with colleagues across regions and Business Units
- Knowledge of licensing requirements in other jurisdictions advantageous
- Experience in conducting fit and proper checks related to licensing and registrations
- Possess strong analytical / reasoning skills
- Be able to handle highly confidential information professionally and with appropriate discretion
- Have the ability to use various PC, MS Office, and internet applications
- Have the ability to effectively handle a fast-paced environment and successfully meet established deadline requirements
- Be self-motivated and must have the ability to work independently
Location
Mumbai, Maharashtra
Relevant Link
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