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Position Description

Morgan Stanley is a global financial services firm and a market leader in investment banking, securities, investment management and wealth management services. With more than 600 offices in 33 countries, the people of Morgan Stanley are dedicated to providing our clients the finest thinking, products and services to help them achieve even the most challenging goals. For further information about Morgan Stanley, please visit www.morganstanley.com.

The Legal Entities Group is a global group with teams in London, New York, Hong Kong, Tokyo & Budapest. It is responsible for legal entity data processing, which includes validating and maintaining external legal entity data and documentation for client business originating from the Institutional Securities Group.

Local Group profile

The London Legal Entities Group plays a prominent role in Anti-Money Laundering (AML) programs globally as well as in other regulatory processes such as Client Categorisation. The team’s core responsibilities are to review, approve, and store legal entity data and documentation on behalf of the Institutional Securities Division (e.g., Equity, Prime Brokerage, Fixed Income, Investment Banking and PWM).

The role will include the following responsibilities.

• Perform anti money laundering and know your client checks on new and existing relationships to the firm
• Possess an in-depth understanding of the Firm’s AML policies and of the internal processes, procedures, reports and controls related to these policies
• Review and respond appropriately to exception reports that help to manage regulatory and other kinds of risk; Improve quality and effectiveness of these reports and coordinate with others to establish new reports where needed
• Identify inefficiencies in account opening / AML processes and partner with management, staff and other areas of EDG to implement streamlined processes
• Perform user acceptance testing for enhancements to technology-based processes, controls, and applications
• Use sound judgment when escalating issues and take charge when needed to prevent or minimize the impact of issues

Skills Required

• Bachelors degree or local equivalent
• Extensive Client Onboarding/AML/KYC experience
• Excellent communication skills
• Good team player with ability to work on their own
• Strong numeracy and analytical skills
• Accuracy, attention to detail, good organisational skills
• Ability to interact effectively with internal clients & global colleagues
• Foreign languages skills an advantage
• Interest in Regulatory environment and Client ID rules & regulations

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