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Foreign Financial Institutions Monitoring Analyst job in Morgan Stanley, India.

 Foreign Financial Institutions Monitoring Analyst - India.

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Employment Type: Full Time

Job Level: Non-Officer

Posted Date: Oct 19, 2023


Job Description

Division: Legal & Compliance (LCD)

Super - Department: Global Financial Crimes (GFC])

Department: Financial Crimes

Sub-Department: Financial Crimes

Region: APAC

Job Level: Associate

Job Title: GFC Foreign Financial Institutions (FFI) Monitoring Analyst

Employment Type: Full Time

Location: Mumbai (Nirlon Knowledge Park)


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.


LCD comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations.

The Legal Department provides guidance, requirements and procedures for understanding and complying with the laws, regulations and Firm policies that apply to our businesses.

The Global Compliance Department identifies applicable Compliance Obligations and maintains a Firmwide Compliance Risk management program, including Compliance Risks that transcend business lines, legal entities and jurisdictions of operation.

Global Financial Crimes is responsible for the development and governance of the Firm's financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti-Money Laundering (AML), Sanctions, Anti-Tax Evasion, Antiboycott, Anti-Corruption (ACG) and Government and Political Activities Compliance (GPAC) programs.

The Global Regulatory Relations Group (GRRG) is responsible for strategic and centralized management of the supervisory activities of Morgan Stanley's regulators and related developments globally, with a focus on regulatory reviews and examinations and continuous monitoring activities. GRRG serves as the central point of contact for the regulatory staff responsible for supervisory activities at Morgan Stanley entities and for timely reporting to Firm management and other governance or management bodies, as appropriate, on those relationships and supervisory processes, including areas of significant regulatory focus or concern.

LCD Center of Excellence Mumbai (LCD CoE) is a part of Morgan Stanley's Global In-house Center, which provides global support to LCD and is an integral part of Firm and LCD strategy.

Team GFC: FFI Monitoring

Morgan Stanley monitors transactional activities and client documentation for its Foreign Financial Institution (FFI) clients to identify and mitigate risks associated with those clients. The FFI team reviews various monitoring alerts generated, Enhanced Due Diligence (EDD) and related forms, and responds to queries from various stakeholders.

Primary Responsibilities (Day Job)

The FFI Monitoring Analyst will:

• Assess the Financial Crimes risks associated with FFI clients of the Firm via review of trade behavior alerts, low priced security alerts, EDD forms, Correspondent Banking Due Diligence Questionnaire /Finance Crimes Compliance Questionnaire forms etc.

• Conduct due diligence searches in relevant third-party and internal databases where necessary.

• Perform research to understand the impact of alerts generated on FFI clients.

• Ensure that adequate & complete comments are written to demonstrate monitoring of FFI clients.

• Resolve queries raised by other teams pertaining to client's Know Your Customer related information.

• Escalate timely any issues identified in the FFI review process to line manager / key stakeholders within Legal and Compliance.

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

• Participate in team meetings.

• Assist with compliance to Firm policies, (e.g., Global Screening Standards, Anti Money Laundering).



• Up to 5 years of Corporate Intelligence, due diligence; experience in the financial or professional services industries.

• Solid track record working in a professional environment.

• Bachelor's degree from an accredited college / university.

• Be certified as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license or certification within 15 months of hire.


• Understanding of Anti-Money Laundering (AML) and Know Your Customer (KYC) obligations

• Experience in Know Your Customer requirements including customer identification program, customer due diligence and enhanced due diligence.

• Should exhibit comfort working with technology and the ability to learn and display proficiency on technical systems and programs.

• Proficient with MS Office

Skills and Qualities

• Demonstrate a high level of attention to detail.

• Possess strong written and verbal communication skills, with ability to demonstrate sound reasoning.

• Have excellent interpersonal skills and the ability to work effectively with colleagues across the Firm.

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

• Ability to think independently, form opinions and make decisions.

• Ability to anticipate ahead of time and escalate issues and issues appropriately.

• Pragmatic and analytical problem solving skills - consistently apply sound judgment.

• Successfully meet established deadline requirements display efficient time management skills and work to tight deadlines.

• Possess the ability to research and resolve issues independently.

• Experience in stakeholder management with excellent interpersonal skills and the ability to work effectively with colleagues across regions and Business Units.

• Have the ability to effectively handle a fast paced environment.

• Ability to identify and recommend process efficiencies.


Monday to Friday from 9 AM to 6 PM India time with flexibility on standard working hours for time sensitive matters (including India Public Holidays).

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents


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