Enhanced Due Diligence - Vice President - ISG Management

Company Profile

Morgan Stanley is a leading global financial 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 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. 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.

Department Profile

The ISG Financial Crimes Risk (FCR") Team is embedded within the Firm's business line. It is responsible for identifying, assessing, and escalating potential money laundering and reputational risk issues associated with higher risk client types. The FCR Team is considered the first line of defense and supports the onboarding and enhanced due diligence processes for Morgan Stanley

Team : Enhanced Due Diligence [EDD]

Morgan Stanley clients and their associated parties are subject to risk based due diligence and are periodically reviewed. The FCR Mumbai team is responsible for performing additional due diligence on clients exhibiting higher risk to ensure the firm is adequately safeguarded and the identified risks are well mitigated

Primary Responsibilities (Day Job)

• Leveraging extensive AML expertise, oversee daily production and quality output of the EDD team while developing and implementing minimum standards
• In a supervisory capacity, review EDD files and EDD Forms prepared by the team to ensure AML-related risks are appropriately captured and mitigated and act as a key contact for questions and issues related to client EDD files
• Provide supervisory support and training for EDD Managers and Associates through developing individual and team skills, developing training plans and providing timely and constructive feedback and coaching where necessary
• Implement and execute day-to-day controls and ensure timely escalation
• Assist in managing / leading the team to support the transition of activities in between 2LOD and 1lOD
• Ensure the development and maintenance of up-to-date documentation of policies and procedures
• Identify and develop areas for improvement for example, system enhancement, process controls to improve the throughput, quality of work, supervisory reviews, etc.
• Promote a culture of high performance, integrity and continuous improvement
• Relationship building with key stakeholders
• Manage SLA's, quality, capacity, metrics etc.
• Represent the ISG FCRCO Team in relevant working groups and governance forums.
• Support work on both tactical and strategic special projects, as needed

Qualifications - External

Skills and Qualities

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 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 work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https : / / www.morganstanley.com / about-us / global-offices into your browser.

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.