Client Onboarding & Regulatory Data Services (CORDS) is an Operations function responsible for regulatory client onboarding, refresh and screening of the firms clients
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 Glasgow KYC CDD Refresh team is responsible for managing the refresh program across global jurisdictions and executing timely and accurate completion of periodic refresh reviews of the firms clients. The team partners closely with Global Financial Crimes, Legal and Compliance, internal/external stakeholders to contribute to the success of the refresh program.
In the Operations division, we partner with business units across the Firm to support financial transactions, devise and implement effective controls and develop client relationships. Morgan Stanley is seeking a Vice President for the High Risk KYC CDD Refresh production team in Glasgow
What You'll Do In The Role
- Leading a specialized High Risk KYC CDD Refresh team in Glasgow to perform and complete periodic KYC refresh reviews
- Act as a subject matter expert on AML/KYC matters
- Ensure all policies, procedures and guidelines are followed by EMEA KYC Refresh team
- Ensure the team is prioritizing cases and meeting SLA through the use of MI. Plan ahead to effectively meet deadlines by rebalancing workload often. Actively perform daily risk management checks with a keen focus on throughput
- Be the voice of the client while balancing Morgan Stanley's regulatory obligation
- Close the loop on thematic issues and apply the lessons learned to full team. Regularly discuss progress/ challenges and overall program status with each Business unit within the region
- Ensure a consistent high service performance delivery to all stakeholders through effective capacity planning
- Liaise with other CORS team such as policy advisory for policy and tech improvements
- Ensure client engagement and sales engagement for all entities to avoid missing target deadlines
- Coordinate process improvements and complex issue resolution by partnering with NMR, Global Financial Crimes (GFC), KYC management, program management, and other Operations teams
- Regional/client segment point of escalation for the Directors, KYC Analysts, internal/external stakeholders
What You'll Bring To The Role
- Extensive leadership experience in a KYC type role
- Proven experience in team leadership roles
- Strong knowledge of AML/KYC requirements required
- AML, client onboarding, or client reference data experience desirable
- Proven track record of ongoing coaching, educating and leading teams
- Outstanding client management, partnership building, leadership and direct experience of dealing with multiple stakeholders at one time
- Proven experience in team leadership and supervising staff
- Demonstrate ability to motivate, support and communicate effectively within large teams
- Strong ability to manage large data sets in order to analyze project trackers and metrics
- Excellent Microsoft office skills required, specifically Microsoft Excel (v-lookup, pivot tables), PowerPoint
- At least 5-7 years' relevant experience would generally be expected to find the skills required for this role
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.
Certified Persons Regulatory Requirements
If t his role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.
Flexible work statement
Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.
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.
