Global Financial Crimes (GFC) : Institutional Securities Group (ISG) Financial Crimes Advisory Director (AVP)
About The Position
We are seeking someone to join our team as a Global Financial Crimes (GFC) : Institutional Securities Group (ISG) Financial Crimes Advisory Professional. In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Director level position within the Institutional Securities Group (ISG) Financial Crime Advisory team which focuses on the financial crimes obligations associated with the Firm's Investment Banking and Global Capital Markets Businesses. Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world. Global Financial Crimes (GFC) coordinates day-to-day implementation of the Firm's enterprise-wide financial crime prevention efforts. GFC includes several legal and compliance disciplines and has responsibility for governance, oversight and execution of the Firm's Anti-Money Laundering (AML), Sanctions, Anti-Corruption and Government and Political Activities Compliance programs. GFC also develops and/or assists in the development of appropriate policies and procedures, including those designed to assist the business units to know their clients and conduct appropriate due diligence and to prevent, detect and report potentially suspicious activity. The ISG Financial Crimes Advisory Professional will be based in New York and report to the Americas Head of GFC Investment Banking and Global Capital Markets Coverage. The ISG Financial Crimes Advisory Professional will be tasked with responsibility for the day-to-day execution of the overall ISG financial crimes program, with a focus on AML, for the Investment Banking and Global Capital Markets Businesses at Morgan Stanley.
Requirements
- Minimum of 5-7 years of relevant experience, preferably at an asset manager, large/complex financial institution, law firm, or government/regulatory body
- Detailed understanding of the laws, rules, and regulations pertaining to AML as well as sanctions and anti-corruption
- Solid knowledge of Investment Management, including Registered Mutual Funds, Investment Advisory Mandates, Private Equity, Real Estate and Fund of Fund Investing
- Highly-motivated self-starter able to work independently while collaborating and coordinating as part of a global program
- Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment
- Exceptional written and verbal communications skills, attention to detail, and effective time management
- Sound judgment and an ability to manage and appropriately escalate issues internally
- Outstanding interpersonal skills and team-player attitude
- CAMS certification - be certified as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license - or certification within 15 months of hire
Responsibilities
- Serve as point of escalation and provide support in connection with Know Your Customer (KYC) onboarding, enhanced due diligence and transactional due diligence matters
- Assist in transactional due diligence with respect to clients, co-investors, and investments and provide guidance to the business on due diligence requirements
- Assist in client risk escalation review process, reviewing background checks, due diligence documentation and analyzing financial crimes and reputational risks
- Assist in the review and approval of New Product Approval
- Identify and evaluate financial crimes risks related to clients, counterparties, and/or transactions
- Assist in the development and communication of a GFC risk view with respect to clients, counterparties, and/or transactions
- Serve as members on various business, compliance and risk committees
- Provide guidance and support to Operations team in their implementation of Global KYC Standards and country-level standards
- Draft/revise and execute on policies and procedures
- Providing financial crimes subject matter expertise on changes in regulatory requirements and serving as an effective advisor to the business, legal, risk and Operations on financial crimes matters
- Deliver training to the BUs, risk, legal, compliance and other first-line and other support functions
- Assist with escalations in connection with regulatory interpretation and application of facts in connection with policies
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
