Global Financial Crimes Advisory Vice President Institutional Securities Group (ISG)

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.

The Financial Crimes Advisory Officer for 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.

In the Legal & Compliance division we assist the Firm in achieving its business objectives by facilitating and overseeing the Firms management of legal regulatory and franchise risk.

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.

Global Financial Crimes (GFC) coordinates day-to-day implementation of the Firms enterprise-wide financial crime prevention efforts. GFC includes several legal and compliance disciplines and has responsibility for governance oversight and execution of the Firms 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. GFC has dedicated coverage managers and teams of analysts who advise and counsel each business unit regarding its AML economic sanctions anti-corruption anti-tax evasion and political activity obligations and its particular clients and transactions.

Morgan Stanley is committed to a strong GFC program to protect against the use of the Firms 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. GFC Legal Advisory provides legal advice expertise and guidance to all business lines and works closely with senior members of GFC in support of the enterprise-wide program.

What youll 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 Firms enterprise-wide financial crimes prevention program
- Represent the Firm in relevant industry groups and other external forums Skills required

What youll bring to the role:

- 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 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 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 credentials

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 thats differentiated and weve 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 - arent just beliefs they guide the decisions we make every day to do whats best for our clients communities and more than 80000 employees in 1200 offices across 42 countries. At Morgan Stanley youll 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. Theres also ample opportunity to move about the business for those who show passion and grit in their work.

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Expected base pay rates for the role will be between 120000 and 205000 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 Stanleys 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).