Associate

Job Description

*Client Onboarding and Regulatory Services - Quality Assurance Analyst/Associate KYC RTB 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. Operations is one of the largest divisions in the firm and has diverse responsibilities, including correctly settling and recording millions of transactions per day, identifying and mitigating all operational risks, developing strong client relationships and partnering with technology to realize the full potential of IT and e-solutions. Throughout, the Operations department continually seeks ways to improve while actively supporting the development of new businesses, structures and markets. Client Onboarding & Regulatory Services (CORS) is an Operations function within Institutional Securities Group Product Operations (ISGPO) and is responsible for regulatory client onboarding, refresh and screening. KYC Regulatory Refresh is the CORS team that supports the ongoing review of clients by performing regulatory due diligence and collecting data and documents required to satisfy KYC/AML requirements in multiple jurisdictions globally. The Refresh team is responsible for managing the refresh program across global jurisdictions. The team partners closely with Global Financial Crimes, Legal and Compliance, internal/external stakeholders to contribute to the success of the refresh program. Morgan Stanley is seeking KYC Quality Assurance Analyst/Associate for Refresh team in Bangalore/Mumbai. Responsibilities: - Quality Assurance Specialists are expected to stay current with all regulatory changes and requirements around client KYC, Suitability and Documentation - Perform quality assurance on all KYC refresh case files before moving them into final stage of completion - Able to escalate appropriately any risks identified during the documentation quality review process - Providing support to the QA Lead to identify and summarize review objectives, purpose and scope - Partnering with the KYC production team to collect required documents and associated information to meet all regulatory and internal polices - Ensuring that the results of the QA reviews are communicated to the appropriate parties, tracked and addressed in a timely manner - Act as a subject matter expert on required AML/ KYC documents and process - Ensure all role related training is completed in a timely manner and continuing education, as directed - Manage and facilitate client due diligence, including coordinating the participation of MS stakeholders who have KYC responsibilities - Discuss and escalate with Compliance complex issues surrounding client types and structures, financial products and services, and other AML risk-related issues. - Act as an escalation point for client issues - troubleshoot cases and collaborate on solutions. - Represent the team at Working Groups and Steering Committee meetings, providing progress updates. - Share knowledge and experience with team members to ensure a consistently high level of performance, *Qualifications: - For Periodic review roles previous experience working in an AML/KYC role required - Strong written and oral communication skills, able to influence internal and external stakeholders, attention to detail - Strong analytical, prioritization and organizational skills - Strong risk and controls awareness - Strong ability to meet quality and performance metrics agreed under QA service level agreements - Capacity to think laterally and convey an understanding of the big picture - Maintains a sense of urgency and ability to prioritize/multi-task - Strong client focus and ability to partner with various internal groups and client coverage - Ability to successfully navigate a complex infrastructure that involves numerous groups and individuals - Consultative in approach, understanding and anticipating business partner needs and proactively delivering solutions - Ability to work under pressure and to fixed deadlines

Keyskills :
client focusmusic makingdue diligenceservice levelquality assurancewealth managementclient onboardinginvestment banking