Job Title: Regulatory Oversight Analyst – Volcker & BHC Monitoring (Morgan Stanley)
Location: Mumbai (or applicable location)
Employment Type: Full-time
Experience: 3–5 Years
Industry: Financial Services / Regulatory Compliance / Investment Management
Job Description
Morgan Stanley is seeking a Regulatory Oversight Analyst to join our Global Regulatory Oversight Team, supporting the monitoring and compliance efforts related to the Volcker Rule, Bank Holding Company (BHC) Act, and broader financial regulatory initiatives. This role is critical in maintaining accurate reporting, managing key compliance controls, and ensuring adherence to regulatory thresholds for investment activities across our global asset management and private equity businesses.
The successful candidate will be part of a high-performing team that operates as the first line of defense, proactively identifying data variances, resolving technical issues, and enhancing compliance frameworks through collaboration with technology, legal, and business teams.
Key Responsibilities
Volcker Rule Compliance & Reporting
- Review monthly Volcker reports across all funds to ensure data accuracy, completeness, and threshold compliance.
- Investigate and escalate missing or inconsistent data and resolve discrepancies with appropriate business teams.
- Collaborate with cross-functional teams (Legal, IT, Finance) to enhance the Volcker monitoring platform and ensure operational efficiency.
- Coordinate the tracking, collection, and update of Volcker Written Plans and relevant compliance documentation.
- Prepare fund ownership metrics and compliance summaries for senior management and regulatory committees.
- Support quarterly monitoring processes, including investor classifications and legal entity completeness checks.
Bank Holding Company (BHC) Monitoring
- Perform comprehensive reviews of monthly BHC system-generated reports and validate data accuracy with relevant stakeholders.
- Strengthen the BHC monitoring platform by enhancing controls, usability, and system capabilities in collaboration with IT.
- Assist in drafting procedural documentation and formal compliance frameworks aligned with BHC monitoring policies.
- Monitor investments to ensure compliance with restructuring deadlines and regulatory holding periods.
- Identify investments required for annual FR Y-12A reporting and ensure timely follow-up.
Broader Regulatory Oversight Support
- Maintain a master regulatory tracker capturing the lifecycle of final and proposed global regulations.
- Support monthly regional monitoring meetings by preparing agendas, documentation, and analysis.
- Assist in the preparation of quarterly reports for the Regulatory Oversight Committee and other governance bodies.
- Partner with internal functions to evaluate and implement compliance solutions aligned with active regulations.
Key Qualifications & Skills
- Bachelor’s Degree in Finance, Economics, Business, or related field; advanced courses/certifications preferred.
- 3–5 years of relevant experience in financial services, ideally in regulatory oversight, compliance, or investment management.
- Prior experience with Private Equity or Asset Management is a strong advantage.
- Advanced proficiency in Microsoft Excel and PowerPoint; data reconciliation skills are essential.
- Strong analytical, organizational, and communication skills.
- Ability to work independently while effectively collaborating across global teams.
- Prior exposure to Volcker Rule, BHC Act, or FR Y-12A reporting is a plus.
- Demonstrated ability to manage multiple priorities with precision and attention to detail.
Why Join Morgan Stanley?
At Morgan Stanley, you’ll work alongside innovative minds in an inclusive environment that values integrity, collaboration, and forward-thinking. We provide comprehensive support for your personal and professional development and offer a wide range of benefits, mobility options, and career progression opportunities. Our 89-year legacy is built on putting clients first and doing what’s right — and we’re committed to helping our employees succeed and grow
1. What kind of experience is required for this role?
Candidates should have 3–5 years of experience in financial services, preferably with exposure to regulatory oversight, compliance, investment management, or private equity.
2. Does this role require prior knowledge of the Volcker Rule or BHC Act?
While direct experience is preferred, candidates with a strong understanding of financial regulations, data controls, and risk mitigation can be trained on firm-specific Volcker and BHC frameworks.
3. What tools and systems should I be familiar with?
Proficiency in Microsoft Excel and PowerPoint is essential. Familiarity with regulatory platforms, internal risk systems, and compliance dashboards is a strong plus.