• Registrations Analyst_US Jobs in Japan - 25320017

  • Morgan Stanley Pvt Ltd
  • Save Job
  • 2 - 5 Years
  • Posted : above 1 month

Job Description:

Primary Location Non-Japan Asia-India-Maharashtra-Mumbai (MSA)

Job Compliance

Employment Type Full Time

Job Level Associate



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 Firms 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 Stanleys 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 Stanleys Global In-house Center, which provides global support to LCD and is an integral part of Firm and LCD strategy

Team Employee Registrations

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 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



University degree and/or professional qualification preferably in Accounting, Law, Finance or Business
The ideal candidate will have 2 years professional experience in Registrations and Licensing or at a financial institution

Skills and Qualities

Experience in resolution of issues
Good communication skills written and oral
Have excellent interpersonal skills and 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


Monday to Friday from 130PM to 1030PM India time with flexibility on standard working hours for time sensitive matters (including India Public Holidays)
Periodic evening calls with US internal clients

Profile Summary:

Employment Type : Full Time
Eligibility : Any Graduate
Industry : Financial Services/Stockbroking
Functional Area : Accounting/Tax/Company Secretary/Audit
Role : Cost Accounting/ ICWA
Salary : As per Industry Standards
Deadline : 03rd Jun 2020

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