Institutional Securities Group Financial Crimes Advisory Vice President
About The Position
We're seeking someone to join our team as an Institutional Securities Group (ISG) Financial Crimes Advisory Officer. 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 Institutional Securities Group (ISG) Financial Crimes Advisory Team in Global Financial Crimes (GFC) that will have responsibility for the day-to-day execution of the overall financial crimes program, covering the Investment Banking, Global Capital Markets, Fixed Income, Prime Brokerage, Institutional Equities, and Fund Services businesses of Morgan Stanley. 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
- 8+ 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, including M&A, sales and trading, equity underwriting, and debt financing, and the ability to understand and assess a wide variety of complex commercial transactions
- 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
Responsibilities
- Provide day-to-day support of the GFC Advisory Leads across Institutional Equities, Investment Banking/Global Capital Markets, and Fixed Income 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
- Serve as a primary point of escalation for internal reports of potentially suspicious activity or sanctions compliance matters from the Fund Services business or other GFC teams, and assist in preparing related external reports to relevant regulators
- Advise on customer risk ranking reviews escalated from other GFC teams
- Assist in the review and approval of New Product Approvals for the ISG business
- Provide oversight on the review and resolution of negative news and sanctions escalations
- Draft/revise and execute on policies and procedures
- Develop content and deliver training to the BUs, risk, legal, compliance and other first-line and support functions including targeted BU-specific sanctions training on 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
- Assist with responding to U.S. and Cayman 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
- Serve on various business, compliance, and risk committees
- Represent the Firm in relevant industry groups and other external forums
Benefits
- Ample opportunity to move about the business for those who show passion and grit in their work
- Attractive and comprehensive employee benefits and perks in the industry
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What This Job Offers
Job Type
Full-time
Career Level
Manager
Education Level
No Education Listed
