Morgan Stanley India | GFC Transaction Monitoring, Vice President, Oversight, Monitoring and Testing

What you'll do in the role

• We're seeking someone to join our team as a Vice President in the Legal and Compliance division.
• This is a Vice President position within the Oversight, Monitoring and Testing, Morgan Stanley clients are subject to continuously monitored to detect unusual or potentially suspicious activities, this team continuously monitored to detect unusual or potentially suspicious activities.
• Review surveillance items flagged as potentially suspicious transactions or exceptions in accordance with the guidelines set forth in the GFC Procedures Manual.
• Review account activity of Morgan Stanley clients using client info, transactional activity and perform a review of account documentation to resolve alerts of any such clients in accordance with the GFC Procedures Manual.
• Perform outreach to client relationship/sales teams or other areas within Morgan Stanley in accordance with the GFC Procedures Manual to determine whether there is an explanation for the activity that triggered the alert.
• Review and analyze surveillance items identified as part of "below-the-line" testing, risk engine tuning and lookback activities.
• Draft dispositions summaries that support the alert review outcomes, ensuring documents are clear and concise while complying with regulatory expectations.
• Review the quality of work delivered by the team.
• Drive a culture of efficiencies / productivity.
• Escalate any questions or potentially suspicious activity found to the Morgan Stanley contact designated in the GFC Procedures Manual for further investigation.
• Escalate any possible true hits to the relevant on-shore GFC team
• Lead the team meetings.
• Having regular catchups with regional stakeholders.
• Recommend enhancements to AML policies or procedures to ensure continuous improvement to overall AML or Screening processes

What you'll bring to the role

• Typically, 10 to 12 years of Corporate Intelligence, due diligence; experience in the financial or professional services industries.
• Solid track record working in a professional environment.
• Experience managing a team of AML professionals.
• Strong oral and written communication skills.
• Excellent interpersonal skills and ability to work effectively with colleagues across regions and Business Units.
• Ability to research and resolve issues independently while working across teams to acquire information.
• Ability to use various PC, MS Office and internet applications and tools to support AML processes.
• Should exhibit comfort working with technology and the ability to learn and display proficiency on technical systems and programs.
• 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.
• Ability to work as part of a team and adapt to the needs of the team as they arise.
• 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.
• Understanding of AML / KYC
• Proficient with MS Office

Morgan Stanley

Morgan Stanley is a global financial services firm founded in New York in 1935, known for investment banking, sales and trading, wealth management and investment management.

Its teams in India support the firm's global businesses. For chartered accountants this means corporate controllers, external reporting, regulatory reporting, tax and risk roles.

• Industry: Investment banking, wealth and investment management
• Headquarters: New York, USA
• In India: Teams in Mumbai and Bengaluru supporting global businesses