Vice President, MSIM Financial Crimes Risk Sanctions

Morgan Stanley is a global financial services firm that conducts its business through three principal business segments - Institutional Securities Wealth Management and Investment Management. Morgan Stanley Investment Management (MSIM) delivers active investment strategies across public and private markets to institutions intermediaries and individuals worldwide. 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 doing the right thing putting clients first and leading with exceptional ideas.

The MSIM 1st Line Financial Crimes Risk (FCR) team is embedded within the Investment Management business and serves as the first line of defense for financial-crimes risk. It is responsible for identifying assessing escalating and remediating money-laundering Sanctions and reputational risks associated with MSIMs funds separately managed accounts intermediaries and distribution channels. The team owns KYC/EDD screening onboarding oversight and Sanctions execution across MSIM Eaton Vance Parametric and MSIM China working in close partnership with Global Financial Crimes (GFC) the business Operations Technology and Legal & Compliance.

Role Summary

The Vice President FCR Sanctions is the dedicated first-line owner of all MSIMs Sanctions execution program across all regions and business lines and operating under and as part of the firmwide Sanctions Program.

The role drives remediation of open Sanctions audit actions leads all the Sanctions control work oversees disposition and governance of Sanctions alerts leads the Transformation initiatives initiated by Global Financial Crimes supports MSIM China where Sanctions risk remains significant and represents MSIM 1L FCR across firmwide Sanctions forums ensuring MSIM can grow into new products and markets with robust defensible controls in place.

Key Responsibilities

• Serve as the MSIM 1L FCR Sanctions subject-matter expert and single point of accountability for the Sanctions program across MSIM EV Parametric and MSIM China.
• Own remediation of open Sanctions audit action plans (sanctioned-securities restrictions and geo-location controls) including gap analysis control design and preparation of regulator/audit-ready documentation and evidence.
• Lead the end-to-end sanctioned-securities compliance process - pre-trade/post-trade surveillance control-room distribution voluntary corporate actions and monthly exposure monitoring across all business units.
• Drive the Manual / Off-Platform Payments Sanctions-screening initiative including centralization with of screening exception governance and phased business-unit onboarding.
• Act as the primary point of contact and business advisor for all Sanctions maters.
• Perform and govern Sanctions activities address escalations support blocking/freezing and OFAC reporting decisions.
• Represent MSIM across the firmwide Sanctions Transformation pillars (Data Screening Alert Dispositioning Blocks & Restrictions IP/Geo-blocking Governance) the Sanctions Oversight Forum and related working groups.
• Support MSIM China where Sanctions risk remains significant - including the sanctioned-securities exposure search process the U.S.-vs-PRC Sanctions policy-exception framework (CMIC) and related remediation.
• Embed Sanctions controls ahead of business expansion (e.g. Parametric France/APAC/MENA Alternatives and distribution growth) and provide Sanctions input into New Product Approvals (NPAs).
• Partner with and influence stakeholders across 1st 2nd and 3rd lines and support oversight reporting KRIs/KPIs and management information for senior governance forums.
• Identify escalate and help remediate top and emerging Sanctions risks and support automation/AI initiatives that create capacity within the Sanctions program.

Required Experience & Qualifications

• 7 years of relevant experience in Sanctions and/or financial-crimes risk management ideally within asset/investment management or at a financial services regulator.
• Deep hands-on Sanctions expertise - OFAC OFSI EU and UN regimes sanctioned-securities restrictions screening calibration alert dispositioning and blocking/reporting obligations.
• Familiarity with screening and trade/compliance systems used in an investment-management environment.
• Strong understanding of BSA/AML and KYC requirements and first-line procedures; regulatory remediation and audit-response experience at a global large-scale firm is a plus.
• Bachelors degree in Business Finance or a related field; relevant AML / Fin Crimes certifications are advantageous.
• High integrity strong judgment and the ability to handle highly confidential information with appropriate discretion.

Key Competencies

• Deliver high impact with a high sense of urgency and juggle competing critical priorities with tangible progress.
• Communicate complex Sanctions matters in a concise action-oriented manner for stakeholders including executive management and regulators.
• Navigate a highly complex high-velocity multi-jurisdictional environment with confidence and minimal supervision.
• Identify issues investigate root causes and escalate promptly.

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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New York: Expected base pay rates for the role will be between $140000 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 Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion where individuals are hired developed and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate bringing a variety of backgrounds talents perspectives and experiences.

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