Morgan Stanley Hiring for Team Supervisor, Line (Operations) at Mumbai, India Full Time

Client Regulatory ServicesQuality Assurance DirectorKYC Refresh Team RTB

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.

Operations is one of the largest divisions in the firm and has diverse responsibilities, including correctly settling and recording millions of transactions per day, identifying and mitigating all operational risks, developing strong client relationships and partnering with technology to realize the full potential of IT and e-solutions. Throughout, the Operations department continually seeks ways to improve while actively supporting the development of new businesses, structures and markets.

Client Onboarding & Regulatory Services (CORS) is an Operations function within Institutional Securities Group Product Operations (ISGPO) and is responsible for regulatory client onboarding, refresh and screening.
KYC Refresh supports a number of regulatory compliance requirements specified by our local/global regulators and provide a rigorous and robust process of investigation that seeks, with reasonable assurance, to verify and validate the customer*s identity and their business.

The Refresh team is responsible for managing the refresh program across global jurisdictions. The team partners closely with Global Financial Crimes, Legal and Compliance, internal/external stakeholders to contribute to the success of the refresh program.

Morgan Stanley is seeking a KYC Quality Assurance Director for Refresh Team in Glasgow.

Responsibilities:

• Understanding and implementation of KYC standards, guidelines, policies and procedures
• Execute periodic quality control reviews to ensure team is meeting the internal benchmarking for quality assurance
• Provide assistance to team in completing ad hoc AML/KYC projects where appropriate
• Face off to multiple teams to resolve KYC quality assurance issues and obtain approvals where necessary
• Ensure that quality control framework is accurately applied and in accordance with set procedural time frame
• Encouraged Right First Time performance and provide feedback to support in maintaining that standard
• Evaluate impact of new regulatory/internal requirements and provide timely feedback to team as QA SME
• Exhibit the highest standards of customer service to our internal and external customers (inclusive of confidentiality)
• Prioritize, track and consolidate escalations in an organized and concise manner
• Proactively highlight potential issues to management
• Drive Process improvements and implement process changes to improve quality assurance practice
• Identify root causes, understand connections and implications and evaluate alternatives
• Make decisions that are effective and well-grounded based on guidelines, policies, and insights
• Responsible for managing a team of 10 Analysts/Associates
• Create an effective and efficient team through continuous communication, timely feedback, and appropriate
  Supervisory practices
• Identify special training needs that may benefit team members to increase team efficiency and quality
• Represent the team at Working Groups and Steering Committee meetings, providing progress updates

Qualifications:

• College/University degree or equivalent with a business focus and relevant/proven experience
• Relevant experience of 8 years, preferred
• AML, client onboarding, quality assurance or client reference data experience desired
• Experience of leading a new team as SME
• Strong interpersonal and verbal/written communication skills
• Leadership and oversight of the analyst/ associate members
• Excellent interpersonal skills necessary to work effectively with colleagues and senior management
• Develop and lead a team that is responsive to dynamic organizational and operational changes
• Strong relationship building skills to influence/negotiate desired outcomes
• Strong analytical skills and attention to detail as QA SME
• Ability to deep-dive and investigate issues to see a successful resolution
• Experience with the build out and execution of a new team or procedures
• Ability to identify risks and issues and successfully navigate through to completion
• Foster and champion High Performance Culture where people are empowered to make decisions that affect their work/environment
• Proficient in MS office particularly Excel and PowerPoint

Job: *Other

Title: Team Supervisor, Line (Operations)

Location: Non-Japan Asia-India-Maharashtra-Mumbai (MSA)

Requisition ID: 3215605