Global Financial Crimes: Client Risk Unit Director (AVP)

Morgan Stanley-posted 3 months ago
$70,000 - $125,000/Yr
Full-time • Director
Baltimore, MD
5,001-10,000 employees
Securities, Commodity Contracts, and Other Financial Investments and Related Activities
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We are seeking someone to join our team as a Global Financial Crimes (GFC), Client Risk Unit 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 Client Risk Unit which is responsible for evaluating client relationships that pose the highest financial crimes risk, while also serving as a check and challenge over the first line's execution of enhanced due diligence. 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. In Global Financial Crimes (GFC), you will play a critical role in identifying potentially suspicious activity, protecting vulnerable individuals, and safeguarding the integrity of the financial system. GFC coordinates day-to-day implementation of the Firm's financial crime prevention efforts. Including governance, oversight, and execution of the Firm's Anti-Money Laundering (AML), Sanctions, Anti-Corruption and Government and Political Activities Compliance programs. If you are passionate about financial crimes prevention, seeking a rewarding and dynamic career, and focused on making a difference, then GFC might be the right team for you.

  • Review enhanced due diligence for both new and existing higher risk clients including analyzing corporate structures and other documentation as necessary
  • Analyze and escalate financial crimes negative news as necessary
  • Determine and provide guidance on the appropriate client risk ranking
  • Review of client accounts for potential matches to designated sanctions targets and prohibited persons lists
  • Engage various third-party and internal databases to assist with due diligence searches as needed
  • Develop an understanding of anti-money laundering regulations, policies, and procedures
  • Provides guidance on policy and procedures to various stakeholders
  • Provides advisory on client risk and due diligence issues to business and operational stakeholders
  • Supports change and remediation projects focused on the Firm's CDD framework, as needed
  • Conduct trainings for various stakeholders
  • Bachelor's degree or equivalent military experience
  • Strong analytical skills
  • Excellent written and verbal communications skills, attention to detail and strong time management skills
  • Ability to interact in a mature and professional manner with a variety of individuals
  • General knowledge of investing and markets and the ability to research or must evidence the ability to learn and adapt quickly
  • Excellent judgment, initiative, and adherence to deadlines
  • Ability to interact with branch office and business unit personnel and be willing to receive and apply feedback on work product from supervisor(s)
  • Fluent in Spanish or Portuguese desired but not required
  • Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license - or certification within first 15 months of employment
  • Medical
  • Prescription Drug
  • Dental
  • Vision
  • Health Savings Account
  • Dependent Day Care Savings Account
  • Life Insurance
  • Disability and Other Insurance Plans
  • Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and X Vacation Days annually)
  • 10 Paid Holidays
  • 401(k)
  • Short/Long Term Disability
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