Manager - AML - Mumbai

Morgan Stanley is a leading global services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

As a market leading, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Fund Services

This wholly owned subsidiary of Morgan Stanley administers over $200 billion of hedge fund assets. Using the firm’s proprietary, globally accessible technology platform, the business provides a full range of fund administration services, including daily accounting and financial reporting; transfer agency and investor services; middle and back-office support; and integrated portfolio analytics. Morgan Stanley Fund Services is supported by more than 600 professionals based in New York, London, Hong Kong, Dublin, Glasgow and Mumbai

1. Job Purpose

Morgan Stanley Fund Services is committed to providing the highest standard of services to the funds that we administer.  Investor Services lies at the heart of this commitment.

The Investor Services team is charged with providing a best in class service to both our clients and their investors. The role of an AML Representative is key to meeting this goal.

Responsibilities include:

• 1-2 years of experience in AML/KYC within a regulated financial services firm
• Providing day-to-day Investor services to both the Fund Manager and the investors in the fund
• Meeting the delivery of services to clients against a pre-agreed service level agreement.
• Keeping line management appraised of operational issues in a timely manner

2. Principle Accountabilities

Service Delivery

• Act as a contact point for fund investors AML related matters.
• Act as a contact point to the fund manager for AML related matters.
• All communication with investors and fund managers must be professional and compliant with the Firm’s communication policies.
• Ensure investor accounts are in compliance with anti-money laundering requirements and regulations and company AML policies and procedures. 
• Handle queries from investors and fund managers in a professional and prompt manner, escalating where appropriate.
• Ensure all compliance process and procedures related documentation is in good order
• Orchestrate the acquisition of due diligence requirements and compliance documentation (AML/KYC) based on client risk level (low, medium, and high)
• Ensuring investor AML documentation is maintained in a complete and organised manner.
• Produce MIS and other internal operational reports that assist in the effective operation of the team.

• All of the above should be carried out in compliance with the Service Level Agreements agreed with each client.

Skills Required
Team Leadership: An AML Professional in Investor Services plays a key role in the day-to-day operation of our team

Key responsibilities

• Training and mentoring of some individual team members
• Ensure that individual team members are aware of the polices, controls and procedures that apply to their role
• Providing an escalation point for team members
• Ensuring that line management are made aware of any issues in a timely manner
• Highlighting resource constraints to line management

Compliance

Investor servicing requires compliance with a range of policies. The successful candidate should have:

• A detailed knowledge of the offering documentation for the funds being serviced.
• A strong knowledge of the regulations that pertain to the domicile of the fund being serviced.
• A strong knowledge of our internal policies and procedures.  Particular emphasis is required on all matters relating to Anti-Money laundering controls.

Client Skills

The successful candidate will play an important role in the delivery of service to our clients.  They also play a key role in maintaining our relationship with clients.  They should have;

• A strong working relationship with the appropriate IS contact at the client.
• Be an established point of contact with client IS contact.
• Have a solid understanding of the particular requirements of the client.
• Client Relationship management skills
• Excellent communication and organizational skills in interacting with Clients and at levels

3. Key Characteristics / Competencies

• A strong knowledge of AML regulations (as it pertains to funds would be advantageous).  
• An aptitude for client service.
• Good administrative and organisational skills with a particular focus on accuracy and attention to detail.
• An ability to work under pressure and an ability to cope with increased workloads at month-end.
• An ability to work as part of focussed team.
• An ability to work as part of a global, distributed team.
• An ability to work independently and pay close attention to details as well as be a team player (in a collaborative team environment)
• An ability to work in a fast-paced environment
• Ensure zero confidentiality breaches and operational errors
• Graduate/PGDBA/MBA/LLB or Equivalent
• Certification in a professional association such as the Association of Certified Anti- Money Laundering Specialists (ACAMS) would be helpful

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 85 years. At our foundation are five core values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. 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.

We're committed to bringing passion and customer focus to the business.

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.