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Company Profile

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 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.

Department Profile

The ISG Financial Crimes Risk (“FCR”) Team is embedded within the Firm’s business line.  It is responsible for identifying, assessing, and escalating potential money laundering and reputational risk issues associated with higher risk client types. The FCR Team is considered the first line of defense and supports the onboarding and enhanced due diligence processes for Morgan Stanley

Team: Enhanced Due Diligence [EDD]

Morgan Stanley clients and their associated parties are subject to risk based due diligence and are periodically reviewed. The FCR Mumbai  team is responsible for performing additional due diligence on clients exhibiting higher risk to ensure the firm is adequately safeguarded and the identified risks are well mitigated

Primary Responsibilities (Day Job)

•     Leveraging extensive AML expertise, oversee daily production and quality output of the EDD team while developing and implementing minimum standards
•      In a supervisory capacity, review EDD files and EDD Forms prepared by the team to ensure AML-related risks are appropriately captured and mitigated and act as a key contact for questions and issues related to client EDD files
•      Provide supervisory support and training for EDD Managers and Associates through developing individual and team skills, developing training plans and providing timely and constructive feedback and coaching where necessary
•      Implement and execute day-to-day controls and ensure timely escalation
•      Assist in managing / leading the team to support the transition of activities in between 2LOD and 1lOD
•      Ensure the development and maintenance of up-to-date documentation of policies and procedures
•      Identify and develop areas for improvement for example, system enhancement, process controls to improve the throughput, quality of work, supervisory reviews, etc.
•      Promote a culture of high performance, integrity and continuous improvement 
•      Relationship building with key stakeholders
•      Manage SLA’s, quality, capacity, metrics etc.
•      Represent the ISG FCRCO Team in relevant working groups and governance forums.
•      Support work on both tactical and strategic special projects, as needed

Experience

•      12 – 15 years of relevant work experience.
•      Financial crimes compliance experience in an Anti-Money Laundering group, KYC, EDD
•      A university degree or equivalent with strong academic credentials
•     Detailed understanding of the financial crimes regulatory regime
•     Previous demonstrable experience of managing and developing junior staff
•     Knowledge of what constitutes an effective Financial Crime Compliance Framework and best practice
•      People management
•     Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license – or certification within first 15 months of employment

Skills and Qualities

•     Strong understanding of AML / KYC / Enhanced Due Diligence
•      Strong analytical skills to identify and assess relevant AML-related risks
•      Developed investigative skills: inquiry and analysis, interviewing, testing and organization·         Impeccable verbal and written communication skills: able to describe complex issues accurately and succinctly
•       Strong attention to detail
•       Ability to research and resolve issues independently while working across teams to acquire information
•       Ability to manage multiple priorities and tasks with the skills to adapt to changes in a fast-paced environment
•       Excellent time management skills and ability to execute tasks within tight deadlines
•       Excellent interpersonal skills necessary to work effectively with colleagues of all levels of seniority across regions and business units; able to question and challenge established processes
•       Should exhibit comfort working with technology and the ability to learn and display proficiency on technical systems and programs.
•       Proficient with MS Office 

“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.”