Company ProfileMorgan 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 ProfileGlobal 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, Anti-Tax Evasion, 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.Group ProfileMorgan Stanley is committed to a strong GFC program to protect against the use of the Firm's products, services, and facilities for prohibited transactions or the purpose of evading, avoiding or otherwise circumventing sanctions, AML, anti-corruption, anti-tax evasion, and political activity laws and regulations. The Firm has adopted a comprehensive, risk-based program to ensure compliance with applicable laws, regulations and government guidance.Primary ResponsibilitiesThe Institutional Securities Group (ISG) Financial Crimes Advisory Officer for Sales and Trading will be report directly to the Head of GFC ISG Sales and Trading and Fund Services. The ISG Financial Crimes Advisory Officer will have responsibility for the day-to-day execution of the overall financial crimes program, covering all of the ISG Sales and Trading businesses at Morgan Stanley (Prime Brokerage, Institutional Equities, Commodities and Fixed Income).Specific job responsibilities include:>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>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>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>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 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>Assist with responding to U.S. regulatory exams and other inquiries, and internal audits, including overseeing document productionSkills requiredCandidates must have:>Minimum of 7-10 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>Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license - or certification within first 15 months of employment.Skills desired>Juris Doctor (JD) degree with strong academic credentialsMorgan 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.
