MSIM Intermediary Governance Associate

The Intermediary Governance / Due Diligence team is positioned within the distribution (sales and marketing) division and is responsible for the governance of Financial Intermediaries investing into MSIM's investment funds. This role is focused on performing due diligence including Financial Crimes and Distribution Channel checks on Financial Intermediaries such as Wealth Managers and Fund Platforms before or during their investment into MSIM's investment funds. The successful candidate is required to work with the broader team, to support them in running checks and assessment against specified criteria for certain existing financial intermediaries. The findings will be included in a summary document that will be approved by relevant functions.
Key Responsibilities:
Performing periodic intermediary due diligence reviews:
• Conducting checks and reviews in accordance with a set framework.
• Escalating screening results or other considerations on the intermediaries and related parties
• Liaising with the broader team on the findings and with other teams as required
• Creating and obtaining approval of Due Diligence Summaries
• Supporting ongoing due diligence reporting After a period of training, the successful candidate will ultimately be expected to perform all the steps below when conducting due diligence of an intermediary:
• Check proof of regulation
• Check for associated AUM and discuss approach with Sales if none
• Requesting required information from the third party vendor or Sales
• Reviewing materials received and reverting via the vendor or Sales if further clarification required
• Reviewing screening alerts and proposed escalations
• Escalation to the relevant teams on any additional information required
• Write a due diligence summary of the review
• Submit for sign-off
• Maintain the tracker
Qualifications, Skills & Requirements:
This role will suit someone who has good verbal and written communication skills, pays close attention to detail, is organized and who has a 'can do' approach regarding the tasks asked of them.
• Methodical, logical approach with good attention to detail
• Excellent communication skills and ability to present information in an easily understandable format
• Self-motivated and have the ability to work independently or as part of a team
• Able to manage weekly targets and prioritise workload
• Confident with MS Excel and Word
• Experience in client services, financial crimes, risk management or similar operations roles is preferred

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.

We're committed to bringing passion and customer focus to the business.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize 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.