JR036989
The Legal & Compliance division assists the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is an Associate level position within the Global Financial Crimes Quality Assurance team which performs sample‑based, post‑closure reviews on a periodic basis of certain controls performed by groups in the first and second lines of defence to detect risks associated with financial crimes. The objective of these quality reviews is to promote quality and consistency in the execution of controls and enable GFC management to identify potential enhancements to controls to mitigate and manage risks associated with financial crimes.
Role - Quality Assurance (QA)
Level - Associate
Location - Glasgow
Responsibilities
* Perform population extraction and sampling of customers subject to Enhanced Due Diligence (EDD) for QA review
* Review completed EDD items to complete analysis sheets containing procedural and analytical questions regarding the Enhanced Due Diligence review
* Determine whether the conclusion of the EDD demonstrates an understanding of the customer and appropriately addresses the material risk
* Determine whether the decision to approve an account opening or refresh or to elevate it to the next level of review was appropriate
* Document the QA review process
* Provide as‑needed support and guidance to dedicated QA analysts on the assigned area of expertise, and serve as primary point of contact for QA coverage stakeholders when appropriate
* Support QA management in efforts to enhance consistency in the performance of GFC activities across processes, business lines, and regions
* Support QA management as needed during regulatory examinations and internal audits
Qualifications
* Minimum of 2 years of relevant experience in an anti‑money laundering or anti‑financial crime group at a large financial institution, including experience conducting Customer Due Diligence
* Bachelor's degree or equivalent
* Excellent time management skills and ability to execute tasks within tight deadlines
* Excellent analytical skills
* Excellent interpersonal skills necessary to work effectively and collaboratively with colleagues and stakeholders across regions and business units
* Ability to identify root causes for recurring issues identified during the QA process
* Attention to detail
* Ability to take thoughtful and effective ownership of assigned areas of responsibility
* Experience with managing data and records in Excel
* Certification as an Anti‑Money Laundering Specialist by ACAMS or equivalent AML certification/license – or certification within 15 months of hire
Equal Employment Opportunity Statement
Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents. Our workforce reflects a broad cross‑section of the global communities in which we operate. For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.
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