M

Morgan Stanley

Manages investments and advises on financing

Vice President, Compliance Coverage Advisory - Non-Financial Risk

Full-Time
No salary listed
Expert
Bachelor's, MBA
Mumbai, Maharashtra, India
HybridFour days per week in the Mumbai office; role covers Mumbai and Bengaluru operations.
Risk & ComplianceRegulatory Compliance & Ethics

About the job

Requirements
  • At least 12+ years of relevant industry experience, with strong regulatory advisory, compliance and regulatory risk management experience.
  • A university degree or equivalent qualification is preferred; CA, MBA, CS, LLB or similar professional qualification would be advantageous.
  • Strong knowledge of Software Technology Park of India, Customs and/or similar regulations, with sound understanding of the Indian offshoring business environment.
  • Demonstrated experience engaging with regulators, auditors and senior stakeholders, including interpreting regulatory requirements and advising management on practical implications for India Global Centre, offshoring and outsourcing operations.
  • Strong written and verbal communication skills, with the ability to influence, negotiate and present regulatory and risk matters clearly to senior stakeholders and governance forums.
  • Excellent collaboration and stakeholder management skills, with the ability to build trusted relationships and work effectively with management, Legal and Compliance, regional and global teams, regulators, auditors, vendors and external advisers.
  • Ability to analyze and advise on complex compliance and non-financial risk issues related to financial services, offshoring, outsourcing and regulatory change.
  • Strong analytical skills, attention to detail and sound judgment, with the ability to review data and situations, identify risks and resolve issues in a timely manner.
  • Ability to make, support and defend complex regulatory, compliance and risk decisions in a fast-paced environment.
  • Proficiency in Microsoft Office applications and ability to prepare clear management reporting, dashboards and committee materials.
Responsibilities
  • Manage regulatory risk for the India Global Centre across Mumbai and Bengaluru, including local licensing, regulatory issues and compliance with applicable laws and regulations.
  • Maintain effective communication and working relationships with local regulators, including supporting regulatory interactions and reviewing or preparing required license applications.
  • Provide guidance on Software Technology Park of India, Customs and other relevant regulations to internal stakeholders, and advise senior management on laws and regulations relating to offshoring and Global Centre operations.
  • Work closely with India Global Centre Management, onshore India Legal and Compliance Division, Asia Pacific Legal and Compliance Division management, regional non-financial risk colleagues and global counterparts to support consistent compliance and non-financial risk practices across the Firm.
  • Ensure internal stakeholders, India Global Centre Management, colleagues and staff are informed of relevant legal and regulatory developments and their implications, particularly as they relate to the Firm’s offshoring operations in India.
  • Attend meetings with Software Technology Park of India in Pune or Bangalore to represent Morgan Stanley India Global Centre.
  • Run Legal and Compliance Division governance meetings and support Non-Financial Risk Committee meetings, Board-level reporting and other senior management governance forums.
  • Coordinate closely with global functions that provide governance over offshoring operations, including compliance teams in sending locations.
  • Coordinate with internal teams to deliver Global Centre-wide projects and non-financial risk reviews that may have regulatory, compliance or other risk implications.
  • Coordinate with external vendors, consultants, external counsel and other advisers on compliance, regulatory and licensing matters.
  • Support the implementation of the Firm’s compliance and risk policies, procedures, core values and Code of Conduct across the Mumbai and Bengaluru offices.
  • Design and deliver compliance, conduct and non-financial risk training materials and sessions for relevant audiences, including dissemination of the Firm’s Core Values and Code of Conduct.
  • Assist in defining and delivering an evolving annual book of work, with regular review and engagement with senior stakeholders.
  • Review, update and draft compliance manuals, notices, policies and procedures in response to regulatory, business or risk management developments.
  • Assist in compliance monitoring, testing and reviews of offshoring business units, including review of global outsourcing requirements, subcontracting to third parties and new inter-affiliate outsourcing proposals.
  • Apply sound judgment to identify, assess and escalate material compliance and non-financial risks to relevant senior managers and regional Legal and Compliance stakeholders.
  • Support the enhancement and embedding of the Non-Financial Risk programme, including preparation of risk dashboards, Non-Financial Risk metrics and reporting for Boards and Risk Committees.
Desired Qualifications
  • Knowledge of data privacy requirements and Department of Telecommunications guidelines would be an added advantage.
  • Self-motivated, flexible and willing to learn and execute broader non-financial risk requirements.

About the company

Morgan Stanley advises companies and governments on financing and manages investments for institutions, individuals, and families. Its business combines investment banking and securities trading with wealth management and an asset-management division that invests across public and private markets. Bankers arrange stock and bond sales and advise on mergers, while advisors build client portfolios and fund managers invest money under agreed strategies. The firm earns advisory and management fees, trading revenue, commissions, and interest from lending and deposits. Morgan Stanley was founded as a partnership in 1935 and is headquartered in New York City.

Company Size

10,001+

Company Stage

IPO

Headquarters

New York City, New York

Founded

1935

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Simplify's Take

What believers are saying

  • Business activity supports expansion: Morgan Stanley reported $21.3 billion quarterly revenue in July 2026, versus $16.8 billion a year earlier.
  • Dallas careers have a future pipeline: Morgan Stanley announced plans for 3,800 jobs by 2035 in September 2026.
  • Recurring fees anchor wealth management: asset-management fees supplied 59% of Morgan Stanley Wealth Management's 2025 revenue.

What critics are saying

  • Staff stability is uneven: Reuters reported Morgan Stanley cut 2,500 jobs across divisions in March 2026, excluding financial advisors.
  • Falling markets squeeze fees: Morgan Stanley bases wealth and asset-management fees on client portfolio values.
  • Asset-manager inflows weakened: Morgan Stanley reported $7.5 billion long-term net flows in July 2026, versus $12.2 billion a year earlier.

What makes Morgan Stanley unique

  • Retail clients choose their service level: Morgan Stanley combines E*TRADE trading with virtual and dedicated financial advisors.
  • Workplace investing has dedicated infrastructure: Morgan Stanley runs Shareworks and E*TRADE stock-plan platforms for customer employees.
  • Specialist investing extends its reach: Morgan Stanley owns portfolio-customization firm Parametric and responsible-investing firm Calvert.

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Benefits

  • Health Insurance
  • Dental Insurance
  • Vision Insurance
  • Life Insurance
  • Disability Insurance
  • Health Savings Account/Flexible Spending Account
  • Unlimited Paid Time Off
  • Paid Vacation
  • Paid Sick Leave
  • Paid Holidays
  • Hybrid Work Options
  • 401(k) Retirement Plan

Company News

Market Research Future
Oct 20th, 2026
iVerify raises $17M from Sands Capital and Morgan Stanley to fight AI-enabled mobile attacks

iVerify has raised $17 million to expand its mobile endpoint detection and response (EDR) business as enterprises face more AI-enabled mobile attacks. The company is based in Belfast and New York. The round included Sands Capital, Entropy Ventures, NAventures, the corporate venture arm of National Bank of Canada, Morgan Stanley, and United Airlines Ventures. Sands Capital partner Chris Eng joined the board, and Morgan Stanley Global chief information security officer Alonzo Ellis joined as a board observer. iVerify says many enterprises rely on patch-only strategies or legacy mobile device management tools that cannot show whether malicious activity is under way on a device. Its platform detects threats on the device itself. The company will use the funds to scale operations as business demand grows.

Business Wire
Oct 20th, 2026
Morgan Stanley Capital Partners buys The Rapid Group, a 50-year-old equipment repair provider

Morgan Stanley Capital Partners (MSCP), the middle market private equity buyout team within Morgan Stanley Investment Management, has acquired The Rapid Group (TRG). The deal terms were not disclosed. Based in Paterson, New Jersey, TRG inspects, repairs, and maintains rotating equipment for municipal, commercial, and industrial customers. It serves more than 1,800 customers across New York, New Jersey, Connecticut, Massachusetts, Pennsylvania, and Rhode Island, and has operated for more than 50 years. MSCP plans to invest in TRG's people and capabilities, expand its geographic reach, and pursue acquisitions. "The acquisition of TRG underscores MSCP's focus on investing in businesses providing truly essential services," said Eric Kanter, managing director and head of industrial services at MSCP. Harris Williams advised TRG; William Blair advised MSCP.

Yahoo Finance
Oct 15th, 2026
Morgan Stanley falls 3% despite 12% revenue growth to $20.3B as Cramer blames inflation fears

Morgan Stanley (MS) shares fell nearly 3% on Wednesday, even after third-quarter revenue rose 12% to $20.3 billion from $18.2 billion a year earlier and beat forecasts. Goldman Sachs also beat estimates, yet it lost another 1.5%. CNBC host Jim Cramer blames worries about sticky inflation and climbing rates, not weak results. "It's not easy to own these bank stocks right now," he said. Institutional Securities revenue grew 18% to $10 billion, while fixed income fell 7%. Wealth management revenue rose 10%, and client assets reached a record $10.5 trillion. Cramer said a resolution to the war in Iran could cool inflation and give the Federal Reserve room to hold off on rate hikes.

Yahoo Finance
Oct 14th, 2026
Morgan Stanley bets on people over AI as Q3 revenue hits $20.3B

Morgan Stanley is taking a measured approach to AI while stressing the role of its people, chief executive officer Ted Pick told analysts on Wednesday. "It's a people business," he said of wealth management, adding that AI can "do a lot of the early work" but clients ultimately ask, "do I trust my financial advisor?" The bank lends capital for the AI buildout and uses the technology internally to boost scale and efficiency. Its wealth unit has worked with OpenAI since at least 2023. Third-quarter net revenues rose to $20.3 billion from $18.2 billion a year earlier. Net income was $4.9 billion, up 6.5%, and earnings per share were $3.03, above the $2.92 analysts expected. Wealth management posted record revenues of $9.1 billion, and net new assets reached $232 billion, up 187%.

Yahoo Finance
Oct 14th, 2026
Morgan Stanley wealth arm draws record $232B in new assets as IPOs lift profit

Morgan Stanley's third-quarter profit rose as equity traders beat analysts' estimates and its wealth arm drew a record $232 billion in net new assets. Net income was $4.97 billion, up from $4.66 billion a year earlier. Half of the new assets were tied to initial public offerings (IPOs). The firm's bankers worked on some of the year's biggest listings, including SpaceX, a customer of its workplace channel. Stock-trading revenue reached $5.8 billion, against expectations of $4.9 billion. Total trading revenue was $7.81 billion, compared with expectations of $7.31 billion. Wealth management revenue rose to $9.1 billion from $8.2 billion a year earlier. Investment banking net revenue was $2.16 billion, up from $2.11 billion. Shares advanced 0.5% in early New York trading.