Global Financial Crimes ISG Advisory Vice President
About The Position
We are seeking a Financial Crimes Advisory Officer who will be responsible for the day-to-day execution of the overall financial crimes program, with a focus on providing advisory services related to AML and Sanctions to the ISG Sales & Trading businesses at Morgan Stanley. 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 Vice President level position within the GFC ISG Coverage for Sales & Trading and will be based in New York and report directly to the Head of GFC ISG Coverage for Sales and Trading. 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.
Requirements
- 7+ years of relevant experience, preferably at a 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 Institutional Securities, sales and trading and fixed income
- 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
- Strong project management skills
- Sound judgment and an ability to appropriately escalate issues internally
- Outstanding interpersonal skills and team-player attitude
- Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license - or certification within first 15 months of employment
- Bachelor's degree required
Responsibilities
- Advise on transactional due diligence with respect to clients, counterparties, co-investors, and target companies/assets and provide guidance to the business on due diligence requirements including risks associated with operating in sanctioned jurisdictions and identifying potential nexus to sanctioned individuals
- Serve as point of escalation and provide support in connection with Know Your Customer (KYC) onboarding, enhanced due diligence, periodic refresh and transactional due diligence matters
- Develop and communicate a GFC risk view with respect to clients, counterparties, and/or transactions across AML, sanctions, and other financial crimes related risks
- Provide oversight and guidance on investment banking and global capital markets transactional deals and coordinate with business unit senior management
- Draft/revise and execute on policies and procedures
- Develop content and deliver training to the BUs, risk, legal, compliance and other first-line and other support functions including targeted BU specific sanctions training on specific risks associated with relevant products and services
- Serve as point of escalation on sanctions questions and provide support in connection with regulatory interpretation and application of facts in connection with policies
- Advise on the performance of customer risk ranking reviews
- Assist in the review and approval of New Product Approvals
- Provide oversight on the review and resolve of negative news and sanctions escalations
- Serve on various business, compliance and risk committees
- Assist with responding to U.S. regulatory exams and other inquiries, and internal audits, including overseeing document production and data collection in connection with blocked property reporting
- Liaise and coordinate within GFC and with key stakeholders across the Firm, including Legal, Compliance, Regulatory Relations, and Risk, to ensure appropriate execution of the Firm's enterprise-wide financial crimes prevention program
- Represent the Firm in relevant industry groups and other external forums
Benefits
- comprehensive employee benefits and perks in the industry
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What This Job Offers
Job Type
Full-time
Career Level
Manager
