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 ethics.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. Department Profile The Quality Control (QC) Testing Team sits within the Client Onboarding & Reference Data Services (CORDS) department of the Firmwide Operations division. It is responsible for performing quality control reviews of customer records to ensure adherence with the Firm's Know Your Customer (KYC) requirements. The QC Testing Team is considered the first line of defense and supports the customer onboarding and periodic review processes for Morgan Stanley. Primary Responsibilities Perform quality control testing of KYC files to ensure compliance with firm and regulatory requirements. Review client data and documentation, including client due diligence (CDD) and enhanced due diligence (EDD) information, for completeness and accuracy. Validate information in customer databases using available due diligence tools. Identify and escalate issues including potential quality control, process, or policy issues. Work with stakeholders and management to discuss and implement remedial actions. Partner with the KYC production team to collect required data and documentation. Stay current with regulatory requirements around client KYC suitability and documentation. Assist on other special projects, as needed. Perform Rectification testing of resolved observations.
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