Global Financial Crimes ISG Advisory Vice President

About the role

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.

Responsibilities

• 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

Requirements

• 7+ years of relevant experience, preferably at a large/complex financial institution, law firm, or government/regulatory body
• Bachelor's degree required
• Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license - or certification within first 15 months of employment

Skills

• Detailed understanding of the laws, rules, and regulations pertaining to AML as well as sanctions and anti-corruption