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Department Profile

Global Financial Crimes (GFC) coordinates day-to-day implementation of the Firm’s enterprise-wide financial crime prevention efforts. GFC includes both 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.

Primary 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 APAC 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

Skills Required

• Bachelor's degree.

• At least 8 years of relevant experience in compliance, legal, audit or other control function in the financial services industry.

• Financial crimes compliance experience and knowledge of local AML rules and regulations.

• Excellent interpersonal and relationship management skills and ability to work effectively with colleagues across the Legal and Compliance Division, other Infrastructure, Risk Management and Control Functions (e.g. Operations).

• Sound 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

• Ability to research and resolve issues independently while working across teams to acquire information.

• Strong written and verbal communications skills in English; fluency in Cantonese and Mandarin is a plus.

• Strong analytical mindset, critical reasoning skills and attention to detail.

• Ability to effectively operate in a fast-paced environment and successfully meet agreed deadlines.

• Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license or certification within first 15 months of employment.

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 that’s differentiated – and we’ve 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 - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll 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. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.

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.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.