E*TRADE from Morgan Stanley · 6 hours ago
Quality Control - Assistant Vice President
Tampa, Florida, United States of America
Full-time
Onsite
Mid, Senior Level
$100K/yr - $135K/yr
5+ years expE*TRADE from Morgan Stanley is a global financial services firm that provides comprehensive financial advice and services. The role involves performing Quality Control KYC reviews, determining sampling populations, and reporting metrics to senior management while ensuring compliance with AML regulatory requirements.
BankingFinanceFinancial Services
Responsibilities
Perform an end-to-end Quality Control KYC review of new onboarding and periodic review files as an individual contributor
Determine sampling population in accordance with procedures
Assist in preparing ongoing and ad hoc reporting for senior management
Report metrics and communicate results to senior management and stakeholders
Share any required feedback with QC Analysts to ensure consistency / standardize findings
Escalate weekly results with Quality Control Bank Officers for final review and sign-off
Qualification
Required
Bachelor's degree in business, Finance, or other related field
Minimum 5 years of experience in financial crimes/AML compliance testing, Audit or similar related QA/QC testing experience
Strong knowledge of AML regulatory requirements and expectations (Domestic - US and International - non-US), MS AML Risk policies and procedures, KYC standards, and QC Program and procedures
Good managerial, communications, analytical, project management and planning skills to be able to implement QC Testing Program including sampling methodology, developing metrics and reporting, and coordinating with QC Analysts to drive consistency in QC testing and outcomes as appropriate
Good knowledge of business, products, operations, systems and organization to be able to implement the QC program
Basic knowledge of MS Office (Microsoft Excel/PowerPoint/Word/Access)
Take initiative, analyze, summarize, and communicate effectively
Investigate, identify issues, impacts and trends as a result of QC testing to propose comprehensive solutions
Identify and recommend improvements to the QC Program
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 in order to perform QC activity and make recommendations based on QC findings
Collect data, develop trend analysis, and prepare reporting of key QC metrics for relevant stakeholders
Preferred
Certified as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license/audit/control testing certification (is a plus)
Benefits
Commission earnings
Incentive compensation
Discretionary bonuses
Other short and long-term incentive packages
Other Morgan Stanley sponsored benefit programs
Company
E*TRADE from Morgan Stanley
E*TRADE from Morgan Stanley is a pioneer in the online brokerage industry.
1001-5000 employees
H1B Sponsorship
E*TRADE from 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)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2020 (3)
Funding
Current Stage
Public CompanyTotal Funding
unknown2020-02-20Acquired
1996-08-16IPO
Leadership Team
Julia Miller
Executive Director, Creative Services
Recent News
2025-11-07
2025-10-14
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