Associate - Document extraction (Legal and Compliance)

Job Description

Division: Legal & Compliance (LCD) Super - Department: Legal Region: AMERICAS Job Level: Analyst/Associate Job Title: Document extraction (Subpoena) Employment Type: Full Time Location: GIC Mumbai (Nirlon Knowledge Park) Firm 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. Division 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 LCD Center of Excellence Mumbai The offshore Legal and Compliance Department in Mumbai is an extended arm of global Legal & Compliance teams Litigation Support being one of such teams. This role will report to a senior level manager. Primary internal stakeholders include attorneys supporting Morgan Stanleys Wealth Management business, members of the Intake Unit and Litigation Support team in Mumbai and onshore., *Primary Responsibilities (Day Job) Provide litigation support to paralegals and attorneys in connection with customer complaints, arbitrations, subpoenas, litigations and regulatory matters Retrieve a wide variety of documents, stored in paper and electronic form, from a variety of Firm systems and applications. Compliance with Legal Department policies and procedures for issuing litigation holds, locating documents, and keeping a record of steps taken to retrieve documents Organizing redacting and staging documents for production Preparing reports and MIS Performing Quality Control & Audit checks for final delivery of requests Manage flow of daily task/requests through effective queue & SLA management Presentation to Management for updating the progress on process improvements on monthly/quarterly basis Requirements Experience Graduate or post- graduate 2-3 years of experience Industry experience will be an added advantage Solid track record working in a professional environment Candidate with prior legal operations/reference data background will be an added advantage Knowledge Should exhibit comfort working with technology and the ability to learn and display proficiency on technical systems and programs. Proficient with MS Office (Excel proficiency is required - specific focus on excel macros) Understanding of legal documents and terminologies will be an added advantage Basic understanding and exposure of US Law and terminologies will be an added advantage Skills and Qualities Applicant must be a self-starter, able to work independently. Must be able to interact with a variety of individuals, in person and by telephone Must be highly detail oriented and meticulous about searching for documents in various locations and keeping a record of those searches Must be able to learn a variety of firm systems in order to access firm documents. Team player who can successfully manage multiple projects and priorities Ability to anticipate ahead of time and escalate issues as appropriate Pragmatic and analytical problem solving skills - candidate needs to consistently apply sound judgment Excellent oral and written English communication skills ability to effectively correspond with various groups and senior professionals over e-mail and telephone Must be able to maintain a high level of organization under pressure Successfully meet established deadline display efficient time management skills Possess the ability to research and resolve issues independently Ability to identify and recommend process efficiencies Excellent interpersonal skills and ability to work effectively with colleagues across regions and Business Units. Have the ability to effectively handle a fast paced environment Coverage Monday to Friday from 11.30AM to 8.30PM India time with flexibility on standard working hours for time sensitive matters (including India Public Holidays). Periodic evening calls with regional stakeholders

Keyskills :
investment bankingglobal compliancerisk management