Regulatory Documentation Specialist – Morgan Stanley – Client On-Boarding + AML Compliance
Job Description
The Legal Entities Group (LEG) operates within the Client Reference Data area of the Enterprise Data Group (EDG). LEG partners closely with the Legal and Compliance Division, Risk Management, Operations, and other groups within EDG to help the Firm's Sales and Trading, and Private Wealth Management business units comply with AML and certain other regulations that involve data and/or documentation requirements. Meeting AML and Client Categorisation requirements is a critical part of the on-boarding process and the Legal Entities Group plays a prominent role in this process.
Primary Duties and Responsibilities:
- Review, approve and process information and documents obtained to satisfy AML and other regulatory requirements i.e. Client Categorisation.
- Liaising with the Business Unit to obtain the necessary AML and Categorisation documents and explain the requirements where necessary.
- Review and respond appropriately to exception reports and management reports designed to help manage regulatory and other kinds of risk.
- Perform user acceptance testing for enhancements to technology-based processes, controls and applications
- Create, improve and maintain written procedures; and use sound judgment when escalating issues and take charge when needed to prevent or minimize the impact of issues.
Desired Skills Experience
- Client On-Boarding experience
- Familiarity with banking and AML regulations
- Project experience advantageous
- Previous employment at a financial institution in Client Onboarding or AML Compliance or similar
- Excellent communication skills
- Outstanding attention to detail and analytical ability