Associate in the Legal and Compliance division

About the job

We're seeking someone to join our team as an Associate in the Legal and Compliance division. In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is an Associate level position within the Oversight, Monitoring and Testing. What you'll do in the role: • The candidate will have several areas of responsibility including, but not limited to, the following: • Analysis of regulations and internal policies/rules for each monitoring topic • Extracting data from multiple sources, organizing it in a standardized format, and conducting a meaningful analysis • Assist in developing and executing Monitoring Checks in line with global monitoring and testing standards. • Ensuring detailed documentation of monitoring work papers • Drafting reports on monitoring completed using global templates. • Track and promptly update progress of testing/monitoring plan reviews and other activities. • Assist with follow-ups and track status of coming due actionable items. • Ensure records are maintained accurately and updated within required timelines. • Collation and analysis of Management information (MI) - Ability to analyze and interpret various data points which depict Testing (Audit) review annual plan status, Monitoring Check status and issues and action plan status. • Create and analyze various MI and metrics to help identify and quantify risk within the Compliance function, various Business Units, Infrastructure functions, and Firm Management. • Work on ad-hoc senior management requests and prepare senior management presentations. • Assist in performing follow-ups and closing overdue issues. • Communicate effectively with management and staff, both locally and overseas. • Ensuring detailed and self-explanatory deliverables. • Ongoing communication with senior management and other stakeholders to discuss status and results of testing(audit) reviews and monitoring audits (checks).

Requirements

• Strong attention to detail
• Excellent relationship building skills
• Strong proficiency in Excel, Word, SharePoint, and PPT

Qualifications

• At least 2 years of relevant experience within the financial services industry
• Experience in Compliance activities or audit reviews
• Experience in interpreting laws or regulations

Preferred Technologies

• Strong attention to detail
• Excellent relationship building skills
• Strong proficiency in Excel, Word, SharePoint, and PPT

About the company

Morgan Stanley is a global leader in financial services, known for evolving and innovating to better serve clients in more than 40 countries around the world. They focus on raising, managing, and allocating capital for their clients.