Global Financial Crimes; GFC): Quality Assurance; QA Associate

Global Financial Crimes (GFC):
Quality Assurance (QA) Associate

Glasgow

We are seeking someone to join our team as a Global Financial Crimes (GFC):
Quality Assurance (QA) Associate.

In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is an Associate level position within the Global Financial Crimes Quality Assurance team which performs sample-based, post closure reviews on a periodic basis of certain controls performed by groups in the first and second lines of defense to detect risks associated with financial crimes.

The objective of these quality reviews is to promote quality and consistency in the execution of controls; and enable GFC management to identify potential enhancements to controls to mitigate and manage risks associated with financial crimes.

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.

• Perform population extraction and sampling of customers subject to Enhanced Due Diligence (EDD) for QA review.
• Review completed EDD items and complete analysis sheets containing procedural and analytical questions regarding the Enhanced Due Diligence review.
• Determine whether the conclusion of the EDD demonstrates an understanding of the customer and appropriately addresses the material risk.
• Determine whether the decision to approve an account opening or refresh or to upscale to the next level of review was appropriate.
• Document the QA review process.
• Provide as‑needed support and guidance to dedicated QA analysts (e.g., ad‑hoc questions, sampling, systems navigation) on the assigned area of expertise.
  
  Note:
  
  After demonstrating expertise in the role, QA Analysts are often asked to also be reporting owners, regularly communicate results and feedback with one or more areas of QA coverage stakeholders, and act as their primary point of contact for QA.
• Support QA management in efforts to enhance consistency in the performance of GFC activities across processes, business lines, and regions.
• Support QA management as needed during regulatory examinations and internal audits.

• At least 4 years' relevant experience would generally be expected to find the skills required for this role.
• Minimum of 2 years of relevant experience in an anti-money laundering or anti-financial crime group at a large financial institution, including experience conducting Customer Due Diligence.
• Bachelor's degree or equivalent.
• 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.

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…