Associate - Client Regulatory Services [H822]

Associate - Client Regulatory Services [H822]

23 Mar
Morgan Stanley
Bangalore Rural

23 Mar

Morgan Stanley

Bangalore Rural

Associate - Client Regulatory Services

Job Number:


POSTING DATE: Mar 23, 2021

PRIMARY LOCATION: Non-Japan Asia-India-Karnataka-Bengaluru

EDUCATION LEVEL: Bachelor's Degree

JOB: Other


JOB LEVEL: Associate


- Performance of detailed Enhanced Due diligence [EDD] screening reviews utilizing available tools, various third-party and internal databases

- Identify and review client accounts for potential matches to designated sanctions targets and prohibited persons lists

- Identify, communicate and remediate process breakdowns and best practices.

- Ensure that the alerts processed are accurate and completed within the specified time period.

- Need to step up / act as back-up in absence of Team Manager.

- Prioritize and proactively manage own workflow to ensure departmental service standards are achieved.

- Participate in team meetings.

- Preparing the monthly MIS and presenting it to the Regional Stakeholders

- Recommend enhancements to AML policies or procedures to ensure continuous improvement to overall AML or Screening processes.


- Up to 5 years of Corporate Intelligence, due diligence, and/or Operations experience in the financial or professional services industries preferred

- Bachelor's degree from an accredited college / university

- Strong interpersonal and verbal communication skills with the ability to apply sound reasoning when delivering services

- Problem solving skills

- Ability to work as part of a team and adapt to the needs of the team as they arise

- Good understanding MS Office product suite [MS Word, PowerPoint and Excel]

- AML experience, client reference data, or client documentation review

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