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Associate - Quality Control (QC) (Wealth Management)
3-5 years
Mumbai
1 vacancy
Associate - Quality Control (QC) (Wealth Management)
Morgan Stanley
posted 2hr ago
Job Role Insights
Flexible timing
Key skills for the job
Job Description
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
Skills Required:
- Strong knowledge of AML regulatory requirements and expectations (Domestic - US and International - non-US), MS WM and U.S. Banks Financial Crimes Risk policies and procedures, KYC standards, and QC Program and procedures
- Good managerial, communications, analytical, project management and planning skills to be able to implement QC Testing Program including sampling methodology, developing metrics and reporting, and coordinating with QC Analysts to drive consistency in QC testing and outcomes as appropriate
- Good knowledge of business, products, operations, systems and organization to be able to implement the QC program
- Basic knowledge of MS Office (Microsoft Excel/PowerPoint/Word/Access)
Ability to:
- Take initiative, analyze, summarize, and communicate effectively
- Investigate, identify issues, impacts and trends as a result of QC testing to propose comprehensive solutions
- Identify and recommend improvements to the QC Program
- Multitask effectively and action matters promptly
- Work independently and in a team environment
- Handle highly confidential information with appropriate discretion
- Work in a high volume, fast paced environment; and
- Work in a matrixed organization, leveraging resources across the organization in order to perform QC activity and make recommendations based on QC findings
Collect data, develop trend analysis, and prepare reporting of key QC metrics for relevant stakeholders
Additional Skills Desired:
Certified as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification / license / audit / control testing certification (is a plus)
Employment Type: Full Time, Permanent
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Flexible timing
Monday to Friday
No travel
Day Shift
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