Morgan Stanley · 10 hours ago
KYC Quality Control Testing Officer / Quality Control Program Lead – Vice President
Tampa, FL
Full-time
Onsite
Mid, Senior Level
$95K/yr - $170K/yr
7+ years expMorgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The KYC Quality Control Testing Officer will be responsible for reviewing QC findings, preparing reports for senior management, and escalating potential risk issues related to financial crimes and AML compliance.
Asset ManagementFinanceFinancial ServicesLending
Responsibilities
Review QC findings prepared by the QC Analyst/Manager and focus on analysis of associated risk factors, including any factors that increase or mitigate the risk posed by the error documented
Assist in preparing ongoing and ad hoc reporting for senior management
Escalate potential risk issues associated with new and existing account customer profiles with internal management and the Second Line of Defense Bank AML Compliance teams
Contribute to the planning and performance of internal reviews of controls residing within various product and business areas to ensure that controls are adequately designed and are operating effectively
Assist in maintaining and updating procedures and proposing testing methods or alternative recommendations for process improvements and program efficiency
Qualification
Required
Bachelor's degree in related field or an equivalent combination of training and experience
Minimum 7 years of experience in financial crimes/AML compliance testing, Audit or similar related QA/QC testing experience at a financial institution
Expert knowledge of AML regulatory requirements and expectations (Domestic – US and International – non-US), MS WM and U.S. Banks Financial Crimes Risk policies and procedures, KYC standards, and QC Program
Strong communications, analytical, organizational, project management and planning skills to be able to develop QC Testing Program, test scripts, testing reports and metrics reporting and manage testing analysts
Strong managerial experience leading teams of 6-10 people
Strong knowledge of business, products, operations, systems and organization to be able to execute the QC Program
Basic knowledge of MS Office (Microsoft Excel/PowerPoint/Word/Access)
Experience with data and trend analysis related to the management of an AML program
Experience in AML/CFT and/or Legal/Regulatory Compliance
Take initiative, analyze, summarize, and communicate effectively
Investigate, identify issues, impacts and trends as a result of QC testing to propose comprehensive solutions for the business unit and/or organization
Multitask effectively and action matters promptly
Work independently and in a team environment
Handle highly confidential information with appropriate discretion
Work in a high volume, fast paced environment
Work in a matrixed organization, leveraging resources across the organization to perform QC activity and effect change based on QC findings
Preferred
Certified as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license/audit/control testing certification (is a plus)
Benefits
Some of the most attractive and comprehensive employee benefits and perks in the industry
Company
Morgan Stanley
Morgan Stanley is a financial services company that offers securities, asset management, and credit services.
10001+ employees
H1B Sponsorship
Morgan Stanley has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
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Trends of Total Sponsorships
2025 (222)
2024 (195)
2023 (173)
2022 (153)
2021 (165)
2020 (173)
Funding
Current Stage
Public CompanyTotal Funding
unknown1997-02-05IPO
Leadership Team
James Gorman
Chairman and CEO
Ted Pick
Chief Executive Officer (CEO)
Recent News
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