Job Description

Director - Cosec (Legal and Compliance)

Job Number:

3255614


POSTING DATE: Jul 15, 2024
PRIMARY LOCATION: Non-Japan Asia-India-Maharashtra-Mumbai (MSA)
EDUCATION LEVEL: Bachelor's Degree
JOB: Other
EMPLOYMENT TYPE: Full Time
JOB LEVEL: Director

DESCRIPTION


Description - External

Division: Legal & Compliance (LCD)

Department: COE Legal

Region: India

Job Level: Director

Location: Gift City, Ahmedabad

Firm

Morgan Stanley is a leading global financial services firm providing a wide range of Investment Banking, Sales & Trading, 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.

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 groups.

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 Firm's 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 Stanley's 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 (LCDCoE) is a part of Morgan Stanley's Global In-house Center. LCDCoE provides support to global LCD and is an integral part of Firm and LCD strategy.




Team and role

• This role is a part of global Corporate Secretarial team within Morgan Stanley's Legal and Compliance Division and is positioned at LCDCoE. The role will support Indian entities for all Corporate Secretarial activities including strategic transactions.


Primary responsibilities

• Manage corporate secretarial activities for Gift City entity including six Legal entities in India


Support all corporate governance and regulatory activities:
• Conducting board, shareholders and committee meetings


• Pre and post board meeting processes and documentation (agenda, minutes, resolutions etc.)


monitoring compliances and filings (required forms, annual returns etc.)
• Maintaining statutory books including registers of members, directors and secretaries for the group entities


• Maintaining corporate records on entity management platforms such as Blueprint One World


review of existing functions and processes
• Ad-hoc corporate secretarial activities


• Support strategic transactions not limited to:


Capital infusions

Compulsory Convertible Preference Share conversions

Share buy-back

Formations, mergers, dissolutions including entity lifecycle management

Legal entity framework/oversight initiatives

Coordinating and collaborating with internal stakeholders like Legal, Compliance, Tax, Operations, Treasury and Financial Controller Group (FCG)

Looking out for opportunities to strengthen governance framework and bringing in efficiencies to existing processes.

Requirements

Qualification:

• Qualified Company Secretary - Member of Institute of Company Secretary of India (ICSI) and /or LLB / BGL and /or Bachelor Degree (essential);


• 8 - 10 years post qualification experience in professional firms, banking or financial institutions or listed companies handling corporate secretarial matter (essential);



QUALIFICATIONS


Skills:
• Excellent verbal and written English communication skills - experience to effectively collaborate with various groups and interact with senior stakeholders over email and the telephone


• Attention to detail


• Experience in Microsoft Office Suite (Word, Excel, Power Point)


• Working knowledge of Blueprint One World (added advantage)


• Strong interpersonal and analytical skills


• Team player who can successfully manage 2-3 member team, multiple projects and priorities


• Ability to think independently, challenge status quo, form opinions and make informed decisions


• Ability to anticipate ahead of time and escalate issues as appropriate


• Pragmatic and analytical problem solving skills - candidate needs to consistently apply sound judgment


• Must be able to maintain a high level of organization under pressure


• Successfully meet established deadline requirements - display efficient time management skills



Coverage

• Monday to Friday from 09.00AM to 6.00PM India time with flexibility to accommodate time sensitive matters on India Public Holidays and Firm Holidays.


Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.