Global Financial Crimes: E*Trade & Ms At Work Officer

Company Profile
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.  The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success.  Together, we share a common set of values rooted in integrity, excellence and strong team ethic.  Morgan Stanley can provide a superior foundation for building a professional career – a place for people to learn, to achieve and grow.  A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Department Profile
Global Financial Crimes (GFC) coordinates day-to-day implementation of the Firm's enterprise-wide financial crime prevention efforts.  GFC includes several legal and compliance disciplines and has responsibility for governance, oversight and execution of the Firm's Anti-Money Laundering (AML), Sanctions, Anti-Corruption and Government and Political Activities Compliance programs.  GFC also develops and/or assists in the development of appropriate policies and procedures, including those designed to assist the business units to know their clients and conduct appropriate due diligence and to prevent, detect and report potentially suspicious activity. 
Background on the Team
The Wealth Management and Bank GFC Advisory team is responsible for the day-to-day execution of the overall financial crimes program for the Firm's Wealth Management (WM), Banks, and digital platform businesses, including E*TRADE and MS at Work. The team is comprised of business segment leads and supporting teams who provide financial crimes related advice and guidance to business units, including serving as an escalation point on financial crimes issues andliaising with key stakeholders across the Firm, including Legal, Compliance, Regulatory Relations, and Risk, to ensure appropriate execution of the Firm's financial crimes prevention program.

Reporting Lines
This role reports to the Head of GFC Advisory for E*TRADE and Morgan Stanley at Work.
Primary Responsibilities
The E*TRADE Advisory Officer will be part of a team that focuses on the anti-money laundering and other financial crime related obligations associated with the Firm's digital brokerage and directed share program businesses. The group focuses on a variety of tasks, including ongoing post-acquisition integration, providing financial crimes related advice and guidance to the E*TRADE business, and serving as an escalation point for financial crimes issues. In this role, the Advisor will implement important GFC initiatives, serve as point of escalation and provide guidance to the coverage businesses, decision significant client matters that pose potential financial crime risk, represent GFC on various committees and interact with key stakeholders across GFC, the Legal and Compliance Division and the business.
Specific job responsibilities include:
Provide strategic input and support to the ongoing integration of E*TRADE's financial crimes program
Provide guidance and direction to business and compliance teams on issues related to AML, sanctions, and anti-corruption laws and regulations
Serve as point of escalation and provide support in connection with Know Your Customer (KYC) onboarding, enhanced due diligence and transactional due diligence matters
Serve as point of escalation and provide support in connection with regulatory interpretation and application of facts in connection with policies
Identify and escalate client matters with significant reputational risk and potential financial crimes exposure
Assist in identifying and reporting suspicious activity
Drive compliance with the Firm's Global KYC Standards across the Firm
Assist with GFC's responses to U.S. regulatory exams and other inquiries, and internal audits
Identify weaknesses, gaps and areas for enhancement across processes and platforms that impact GFC, determine appropriate solutions and lead corrective action efforts
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 WM financial crimes prevention program
Coordinate execution of WM and Banks Financial Crimes program changes with key stakeholders (Operations, Technology, Compliance, and GFC)
Represent Financial Crimes in meetings and on committees with other stakeholders

Skills required

Candidates must have:
>4-year college degree with strong academic credentials
>A minimum of 6 years of relevant experience, preferably at a large/complex financial institution, law firm, or government/regulatory body
>Ability to understand and assess a wide variety of complex products, services and client types
>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
>Excellent written and verbal communications skills and attention to detail
>Sound judgment and an ability to appropriately escalate issues internally
>Outstanding interpersonal skills and team-player attitude
>Strong understanding of financial markets
>Proficiency with MS Word, Excel, PowerPoint, and Outlook
>Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license or certification within 15 months of hire
Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.
It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

Expected base pay rates for the role in New York will be between 110000 and 190000  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.