Senior Associate _Enhanced Due Diligence _ISG Management

Department Profile

We are the Non-Financial (NFR) group within the Institutional Securities Group (ISG) management function. NFR is responsible for managing several non-financial risks across ISG, including but not limited to Compliance, Supervision, Conduct, Client, Financial Crimes and Product Risk. As an in-business risk management team, we partner with our ISG business stakeholders, as well as the technology groups and 2nd line control functions to understand business needs and their associated risks, execute on practical solutions, and maintain a global governance, monitoring, communication, and awareness strategy that underscores a culture of control excellence. Our team has a global presence with members located in New York, London, Mumbai, and Hong Kong. covers functions across IED ranging from those associated with sales, trading, analytics, strats to risk management.

Team: Enhanced Due Diligence [EDD]

Morgan Stanley clients and their associated parties are screened to meet AML / KYC requirements. Existing client are subject to ongoing screening against negative / adverse & PEP news

Primary Responsibilities

• Review EDD’s [escalations, notes and matrix] that have been completed by Level 1 team
• Mitigate and escalate any possible true hits to the relevant teams as applicable
• Review the quality of work delivered by the team.
• Participate in team meetings.
• Drive a culture of efficiencies / productivity
• Recommend enhancements to AML policies or procedures to ensure continuous improvement to overall AML or Screening processes.
  
  

Experience

• Minimum of 5 years of Corporate Intelligence, due diligence; experience in the financial or professional services industries
• Solid track record working in a professional environment
• Bachelor’s degree from an accredited college / university
  
  

Knowledge

• Understanding of AML / KYC
• Should exhibit comfort working with technology and the ability to learn and display proficiency on technical systems and programs.
• Proficient with MS Office
  
  

Skills And Qualities

• Team player who can successfully manage multiple projects and priorities
• Ability to think independently, form opinions and make decisions
• Ability to anticipate ahead of time and escalate issues as appropriate
• Pragmatic and analytical problem-solving skills - consistently apply sound judgment.
• Good interpersonal and written / verbal communication skills with the ability to apply sound reasoning when delivering work
• Successfully meet established deadline requirements – display efficient time management skills
• Possess the ability to research and resolve issues independently
• Experience in stakeholder management with excellent interpersonal skills and the ability to work effectively with colleagues across regions and Business Units
• Have the ability to effectively handle a fast-paced environment.
• Ability to identify and recommend process efficiencies
• Attention to detail
  
  

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.