Global Financial Crimes ISG Advisory Vice President

Morgan Stanley; New York (NY); In loco; USD 120.000 - 210.000; Tempo pieno

Descrizione del lavoro

Morgan Stanley is seeking a Financial Crimes Advisory Officer to lead AML and sanctions advisory for the ISG Sales & Trading business in New York. The role sits in Legal & Compliance and reports to the Head of GFC ISG Coverage for Sales & Trading.

You will advise on due diligence, KYC onboarding, sanctions risk, policy development, and training across first-line risk and control functions while coordinating with Legal, Compliance and Risk stakeholders globally.

Competenze

• 7+ years of relevant experience in financial crime compliance or regulatory roles.
• Detailed understanding of AML laws, sanctions and anti-corruption rules.
• Strong knowledge of Institutional Securities, sales & trading and fixed income.
• Self-motivated, able to work independently within a global program.
• Excellent written and verbal communication, with strong time management.
• Solid project management skills and sound judgement.
• ACAMS certification or equivalent AML qualification within 15 months.

Mansioni

• Advise on transactional due diligence for clients, counterparties, and investments.
• Support KYC onboarding, enhanced due diligence, and periodic reviews.
• Develop a GFC risk view across AML, sanctions, and related risks.
• Oversee IB and global capital markets transactions with senior management guidance.
• Draft, revise and implement policies and procedures.
• Create and deliver sanctions training for risk, legal, and first-line functions.
• Escalate sanctions questions and assist regulatory interpretation.
• Review customer risk rankings and New Product Approvals.
• Oversee negative news and sanctions escalation resolutions.
• Participate in various business, compliance and risk committees.
• Support responses to U.S. regulatory exams and audits, including data provisioning.
• Coordinate with stakeholders across the Firm to execute enterprise-wide financial crimes program.
• Represent the Firm in industry groups and external forums.

Conoscenze

AML knowledge

Analytical skills

Communication

Project management

Teamwork

Decision making

ACAMS certification

Formazione

Bachelor's degree

ACAMS certification

Descrizione del lavoro

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 Institutional Securities Group (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.

What you'll do in the role:

• 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 Skills required

What you'll bring to the role:

• 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 elevate 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

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients - helping them reach their goals. We do it in a way that's differentiated - and we've done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. 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. There's also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.

Expected base pay rates for the role will be between 120000 and 210000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.