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    Associate Quality Assurance Auditor - Glasgow, United Kingdom - Morgan Stanley

    Morgan Stanley
    Morgan Stanley Glasgow, United Kingdom

    1 week ago

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    Description

    Job Description Global Financial Crimes:
    Targeted Quality Assurance Analyst
    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.

    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.

    We can provide a superior foundation for building a professional career – a place for people to learn, to achieve and grow.

    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.

    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.

    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
    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
    Experience with managing data and records in Excel

    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.

    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.

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