Associate - Quality Control (QC) (Wealth Management)

Department Profile

The WM and U.S. Banks Financial Crimes Risk Team is embedded within the Firms business line. It is responsible for identifying, assessing, and escalating potential money laundering and reputational risk issues associated with higher risk client types. The WM and U.S. Banks Financial Crimes Risk Team is considered the first line of defense and supports the onboarding, enhanced due diligence, and negative news processes for Morgan Stanley.

Primary Responsibilities

- Determine sampling population in accordance with procedures

- Assist in preparing ongoing and ad hoc reporting for senior management

- Report metrics and communicate results to senior management and stakeholders

- Share any required feedback with QC Analysts to ensure consistency / standardize findings

- Escalate weekly results with Quality Control Bank Officers for final review and sign-off

Qualifications

Required Experience:

Minimum undergraduate degree in related field

Minimum 3-5 years of experience in financial crimes/AML compliance testing, Audit or similar related QA/QC testing experience