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Global Financial Crimes: Targeted Quality Assurance Analyst

Associate

Glasgow

3250300

Global Financial Crimes (GFC) coordinates day-to-day implementation of the Firm's enterprise-wide financial crime prevention efforts. GFC includes several legal and compliance disciplines and has responsibility for governance, oversight, and execution of the Firm's Anti-Money Laundering (AML), Economic Sanctions, Anti-Tax Evasion, Anti-Corruption and Government and Political Activities Compliance programs. GFC also develops and/or assists in the development of appropriate policies and procedures, including those designed to assist the business units to know their clients and conduct appropriate due diligence and to prevent, detect and report potentially suspicious activity.

About Morgan Stanley

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.

As a market leader, 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. We 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.

What will you be doing?

The GFC Quality Assurance (QA) Team performs manual reviews of financial crimes-related monitoring activities and select KYC activities (e.g., Enhanced Due Diligence for higher risk customers) on an ongoing basis to assess quality and consistency in the disposition of alerts, the collection and analysis of onboarding information, and other financial crimes-related processes in both the first and second lines of defense. The GFC QA Team provides information and insight to control owners to promote consistency across business units and regions in adherence to global standards, continuous improvement of processes and controls, and effective management of financial crime-related risks.

The QA Analyst based in Glasgow is responsible for performing targeted GFC QA reviews based on prioritised workstreams that are subject to change over time, and includes the following activities:
• Performing population extraction and sampling of completed work items for QA review.
• Reviewing completed work items and completing analysis sheets containing procedural and analytical questions regarding the disposition of those items for the monitoring activities assigned.
• Determining whether the disposition of the work item demonstrates an understanding of the work item and appropriately addresses the material risk.
• Determining whether the decision to close the work item or to escalate it to the next level of review was appropriate.
• Documenting the QA review process and results.
• Providing as-needed support and guidance to other GFC QA Analysts on the assigned area of expertise. Note: After demonstrating expertise in role, Targeted QA Analysts may be asked to undertake additional responsibility as reporting owners, regularly communicating results and feedback with one or more areas of GFC QA coverage, as well as being their primary point of contact for GFC QA.
• Supporting QA management in efforts to enhance consistency in the performance of GFC activities across processes, business lines, and regions.
• Supporting QA management as needed during regulatory examinations and internal audits.

What we're looking for:
• Professional experience in an anti-money laundering or anti-financial crime group at a large financial institution, including experience conducting or reviewing customer due diligence
• Demonstrated ability to learn new processes quickly
• Excellent time management skills and ability to execute tasks within tight deadlines
• Excellent analytical skills
• Excellent interpersonal skills necessary to work effectively and collaboratively with colleagues and stakeholders across regions and business units
• Ability to identify root causes for recurring issues identified during the QA process
• Attention to detail
• Ability to take thoughtful and effective ownership of assigned areas of responsibility
• Experience with managing data and records in Excel
• Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license - or certification within 15 months of hire

Certified Persons Regulatory Requirements:

This role is deemed as a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.

Where will you be working?

This role will require in office attendance 3 days/week. Two of those days will be Anchor Days where you will be in the office with your teammates to learn, grow, and collaborate in person.

Flexible work statement:

Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.

Internal Applicants:

Internal mobility can be a way to grow your career and realize your professional potential. Typically, you must be in your position for at least 18 months and performing satisfactorily before applying for another job at the Firm. Internal applicants can find out more regarding career navigation, mobility guidelines and policy on our employee portal by clicking here .

Equal opportunities statement:

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.

Benefits of working as a Global Financial Crimes: Targeted Quality Assurance Analyst - Associate in Glasgow, Lanarkshire:

● Unlimited Growth Potential
● Company offers career progression opportunities
● Leading Industry Pay