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Associate, Regulatory Oversight - Job Opportunity at Morgan Stanley

Mumbai, India
Full-time
Mid-level
Posted: April 11, 2025
On-site
USD 70,000 - 90,000 per year based on Mumbai market rates for similar financial services roles

Benefits

Comprehensive employee benefits package competitive with industry standards
Work-life balance support programs
Global mobility opportunities across 1,200 offices
Professional development and career advancement programs
Family-focused benefits and support systems
Industry-leading healthcare and retirement benefits

Key Responsibilities

Lead monthly Volcker Rule compliance monitoring and reporting across investment portfolios
Oversee Bank Holding Company Act merchant banking monitoring and regulatory framework development
Drive strategic platform enhancement initiatives and data quality improvements
Manage cross-functional relationships with IT, Finance, and Business teams
Contribute to regulatory oversight and compliance strategy development
Prepare critical management reporting for senior committees

Requirements

Education

Bachelor's Degree required and any other relevant academic course a plus

Experience

3-5 years of experience in financial services

Required Skills

Good understanding of global business models, systems, and structures Quick learner with drive for process understanding Independent self-starter and collaborative problem solver Strong attention to detail Organizational and multi-tasking abilities Good communication skills Analytical thinking Process improvement orientation Advanced Excel and PowerPoint skills Financial Regulatory experience preferred
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Sauge AI Market Intelligence

Industry Trends

Financial institutions are facing increasingly complex regulatory requirements, particularly around Volcker Rule compliance and merchant banking activities There's a growing emphasis on automated compliance monitoring systems and data analytics capabilities in regulatory oversight roles The regulatory technology (RegTech) sector is experiencing rapid growth, driving demand for professionals who can bridge compliance and technology

Role Significance

Likely part of a 10-15 person regulatory oversight team, working closely with multiple stakeholders across compliance, technology, and business units
Mid-level position with significant responsibility for regulatory compliance programs and strategic platform development

Key Projects

Volcker Rule compliance framework enhancement Bank Holding Company Act monitoring system development Regulatory reporting automation initiatives Cross-functional data quality improvement programs

Success Factors

Deep understanding of financial regulations and their practical implementation Strong technical aptitude for working with compliance monitoring systems Excellent stakeholder management skills across multiple organizational levels Ability to balance detailed execution with strategic thinking

Market Demand

High demand due to expanding regulatory requirements and increasing complexity of financial products and services

Important Skills

Critical Skills

Regulatory compliance expertise - Essential for navigating complex financial regulations Data analysis capabilities - Critical for monitoring and reporting functions Technical platform knowledge - Required for system enhancement initiatives

Beneficial Skills

Project management skills Risk assessment capabilities Programming or automation skills Knowledge of emerging RegTech solutions

Unique Aspects

Role combines regulatory expertise with strategic system development
Opportunity to work on cutting-edge compliance monitoring platforms
Exposure to multiple regulatory frameworks and business lines

Career Growth

Typical progression to next level in 2-3 years with strong performance

Potential Next Roles

Regulatory Compliance Manager Senior Associate - Regulatory Operations Vice President - Regulatory Oversight Risk Management Specialist

Company Overview

Morgan Stanley

Morgan Stanley is a leading global financial services firm with a strong emphasis on institutional securities, wealth management, and investment management

Top-tier global investment bank with significant market presence and regulatory influence
Mumbai office serves as a major operational hub for global support functions
Fast-paced, professional environment with emphasis on excellence and innovation in regulatory compliance
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