About The Company and Team

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.

The Account Management Team (AMT) within the Morgan Stanley Australia Wealth Management business is responsible for the life cycle of client accounts encompassing Client Onboarding, Maintenance, Remediation and Regulatory activities.

About The Role

This role will report to the Head of Australia AMT and will perform quality control (QC) testing for the business processes carried out by AMT including onboarding, periodic review and triggering event review as well as other ad-hoc thematic account reviews.

Duties and Responsibilities
??? Assist in the development and roll-out of AMT QC framework in Australia.
??? Conduct QC testing to assess the quality of the business processes carried out by AMT e.g., onboarding, periodic review and triggering event review. Ensure these processes are adhered to and comply with internal policies and procedures.
??? Work in partnership with AMT QA team
??? Be a point of contact for AMT Leadership including AMT QA Lead and Head of AMT on QA related tasks.
??? Engage with business stakeholders e.g., AMT, Operations, Change the Bank (CTB), Risk and Technology functions to identify the root cause of an observation and provide action plans to resolve.
??? Validate and summarize QC results in clear, concise language.
??? Conduct training with AMT Australia team members to address and improve quality results.
??? Track identified observations to closure and timely follow-up with business stakeholders.
??? Manage and engage in ad-hoc thematic account review.
??? Support the Head of Australia AMT and Head of Asia AMT with ad hoc tasks.

Qualifications:

Requirements

The ideal candidate will have at least 8 years of experience within QA / QC Testing / Compliance Monitoring / Compliance Testing / Audit in Australia. Previous client life-cycle knowledge and experience at another top-tier Private Bank ("PB") is an advantage.

Key Competencies/ Skills
??? High attention to detail and an analytical mindset. Confident analyzing data from multiple systems to conduct QC and assess inherent risks.
??? Ability to anticipate and identify AML risks and determine effective mitigation at both process and account level.
??? Expert knowledge of CIP requirements, account structures of various complexity, KYC documentation, private wealth management regulatory requirements and best practices.
??? Knowledge in Source of Wealth/ Source of Funds is a must.
??? Ability to work independently and meet multiple competing deadlines.
??? Strong commitment to collective team objectives and ability to adapt and work efficiently in a fast-paced environment.
??? Self-motivated and enthusiastic.
??? Excellent verbal and written communication skills.

Education and/or Experience:
??? Bachelor's degree required or equivalent education or experience.
??? 8 years of experience, working in the field of quality control testing / quality assurance testing /compliance monitoring / compliance testing / audit.

Equal Opportunity Statement

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, gender, gender identity or expression, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy (including unlawful discrimination on the basis of a legally protected pregnancy/maternity leave), veteran status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce

#LI-JM1

Return to Search Results