Job Level: Associate Title: Associate, Client Regulatory Services , New Client New Business Team Department: SSBO Functional Area: Client Regulatory Services City Position is Located: Bangalore Company Profile: 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 SSBO : Shared Service and Banking Operations delivers industry leading operational solutions by aligning the right functions, people, processes and tools into ten core disciplines offering tailored client service levels that are efficient, controlled and compliant with regulation. Our core disciplines include: Asset Servicing, Cash Management, Client Data Management, Global Banking Services, Loans Servicing, Network Management, Payments (Wireless and Disbursements), Reconciliations, Settlements and Tax Operations. Team Profile: Client Regulatory Services (CRS) is an Operations group within Shared Services and Banking Operations (SSBO) that is responsible for adherence to client regulatory requirements during the life of the client-s relationship with Morgan Stanley. This includes Anti-Money Laundering (AML) Client Reference Screening, Know Your Client (KYC), and other non-AML/KYC regulations such as MIFID, QIB, QFC, Dodd Frank, EMIR, HKPI, etc. The team is comprised of regulatory SMEs that provide support and regulatory control to global Business Units and stakeholders. The teams work on cross-functional projects in support of changed or new regulations, processes and controls that have an impact across the Firm coordinating with Legal, Compliance, Central Change and Technology. There are three Operational teams: - NCNB: The New Client New Business team is responsible for maintaining, reviewing, processing, and reporting on both AML and Non-AML regulatory programs; ensuring the data and documentation required is collected for new clients or existing clients extending their business relationship with Morgan into new products/jurisdictions. - Regulatory Refresh: The Regulatory Refresh team is responsible for completing the AML/KYC Periodic Reviews of our clients based on their jurisdictions and AML Risk to the firm. The KYC Services team is part of Regulatory refresh and is responsible for Client, Sales and NMR engagement; thereby assisting in effective completion of data & document refresh. - Client Screening Services: The Screening team performs Initial (Level 1) review & disposition of screening alerts across Sanctions, Negative News, PEP and Client Settlement Instructions. For high risk clients, the team completes Extended Due Diligence (EDD) public source reviews for new onboarding and refresh.
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