Morgan Stanley

Client Screening And Quality, Associate, Risk Regulatory And Resilience

Posted On

June 27, 2024

Location

Bengaluru, Karnataka

Experience Level

Freshers/Experienced

Job Type

Permanent

Apply By

July 17, 2024

Job Description

We’re seeking someone to join our team as an Associate in Client Screening And Quality team.

The Quality Control (QC) Testing Team sits within the Client Onboarding & Reference Data Services (CORDS) department of the Firmwide Operations division. It is responsible for performing quality control reviews of customer records to ensure adherence with the Firm's Know Your Customer (KYC) requirements. The QC Testing Team is considered the first line of defense and supports the customer onboarding and periodic review processes for Morgan Stanley.

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, 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 ethics. 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.

Interested in joining a team that’s eager to create, innovate and make an impact on the world?

What you’ll do in the role:
- Perform quality control testing of KYC files to ensure compliance with firm and regulatory requirements.
- Review client data and documentation, including client due diligence (CDD) and enhanced due diligence (EDD) information, for completeness and accuracy.
- Validate information in customer databases using available due diligence tools.
- Identify and escalate issues including potential quality control, process, or policy issues.
- Work with stakeholders and management to discuss and implement remedial actions.
- Partner with the KYC production team to collect required data and documentation.
- Stay current with regulatory requirements around client KYC suitability and documentation.
- Assist on other special projects, as needed.
- Perform Rectification testing of resolved observations.

What you’ll bring to the role: -
- Minimum 3-5 years of relevant experience in an AML/KYC role
- Bachelors degree in finance, economics, or related field, or an equivalent combination of training and experience
- Strong knowledge of BSA/AML regulatory requirements and expectations
-Outstanding attention to detail
- Strong research and analytical skills
- Strong investigation and due diligence skills
- Strong verbal and written communication skills
- General understanding of business, products, operations, systems and organization
- Proficient in Microsoft Office tools (Word, PowerPoint, and Excel)
- Proficient in the English language

What you can expect from Morgan Stanley
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. Our Firm is differentiated by the caliber of our diverse team, while our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.

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.

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