VP, Financial Crimes Advisory — Institutional Securities

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

Descrizione del lavoro

Morgan Stanley is seeking an Institutional Securities Group Financial Crimes Advisory Officer at VP level. The role leads day-to-day execution of the financial crimes program across ISG businesses, including Investment Banking, Global Capital Markets, Fixed Income, Prime Brokerage, Institutional Equities, and Fund Services.

You will provide risk views, manage KYC onboarding, enhanced due diligence, sanctions, and regulatory responses, train staff, and coordinate with Legal, Compliance, Risk and

Competenze

• 8+ years of relevant experience, preferably at a large/complex financial institution, law firm, or government/regulatory body.
• Detailed understanding of AML and sanctions laws and regulations.
• Solid knowledge of Institutional Securities (M&A, sales and trading, equity underwriting, and debt financing).
• Highly-motivated self-starter able to work independently while collaborating and coordinating as part of a global program.
• Strong analytical and problem-solving skills with 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
• Outstanding interpersonal skills and team-player attitude.

Mansioni

• 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
• Develop and communicate a GFC risk view with respect to clients, counterparties, and/or transactions across AML, sanctions, and other financial crimes related risks
• 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

Conoscenze

8+ yrs exp

AML knowledge

Sanctions knowledge

Institutional Securities

Analytical skills

Communication skills

Project management

Independent worker

Descrizione del lavoro

Morgan Stanley is seeking an Institutional Securities Group Financial Crimes Advisory Officer at VP level. The role leads day-to-day execution of the financial crimes program across ISG businesses, including Investment Banking, Global Capital Markets, Fixed Income, Prime Brokerage, Institutional Equities, and Fund Services.

You will provide risk views, manage KYC onboarding, enhanced due diligence, sanctions, and regulatory responses, train staff, and coordinate with Legal, Compliance, Risk and