Director - Client Screening & Quality - Risk, Regulatory & Resilience bei Morgan Stanley

We’re seeking someone to join our team as a Director in Client Onboarding Regulatory & Data Services. The Quality Control team works closely with CORDS Run the Bank (RTB) functions, Internal Risk, Audits, and Compliance teams to implement a standardized approach towards the data quality control framework. The team is primarily responsible for performing data quality checks of completed KYC cases, identifying / escalating issues, and reporting KRIs to stakeholders.

In the Operations division, we partner with business units across the Firm to support financial transactions, devise and implement effective controls and develop client relationships. This is a Team Manager position at Director level within the Firmwide Operations division.

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

What you'll do in the role:

• Quality Control Specialists are expected to stay current with all regulatory changes and requirements around client KYC, Suitability and Documentation

• Performing quality control testing and driving process improvements

• Reviewing customer databases (i.e. data checks on the core system of Morgan Stanley and review of the records of existing clients)

• Raising and escalating potential quality assurance, process or policy issues

• Reviewing data and documentation to ensure they meet regulatory requirements

• Providing status reports and escalating issues to management, as appropriate

• Partnering with the KYC production team to collect required documents and associated information to meet all regulatory and internal polices

• Act as a subject matter expert on required AML/ KYC documents and process

• Share knowledge and experience with team members to ensure a consistently high level of performance

• Leading detailed analysis with line staff and wider Ops groups to proactively identify, analyze and quantify manual inefficiencies and determine how processes can be improved with available resources and tools

What you'll bring to the role: 

• Bachelor’s degree & 12 to 14 years’ experience working in an AML/KYC role required – Maker/ Checker / QA

• Strong risk and controls awareness. Strong ability to meet quality and performance metrics agreed under QA service level agreements

• Leadership experience in managing, coaching and developing people. Ability to manage conflicts and difficult conversations

• Efficiently manage time and help the team prioritize tasks to meet deadlines. Maintains a sense of urgency and ability to prioritize/multi-task

• Capacity to think laterally and convey an understanding of the big picture. Strong client focus and ability to partner with various internal groups

• Excellent investigation skills, high levels of professional curiosity and problem-solving skills

• Independent analytical and critical thinking skills. Excellent written and verbal communication skills

• Proficiency level of English knowledge. Excellent Stakeholder management skills

• Outstanding attention to detail. Ability to multi-task, work to tight deadlines and prioritize effectively

• Ability to work independently. Professional computer skills (including Excel), quick adaption to new systems

• Understanding of the regulatory landscape. Adaptability and flexibility, ability to perform under pressure or in a changing environment

• Ability to interact effectively with others across departments, regions and time zones

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize 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.