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Morgan 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 42 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, achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Professionals within the Legal and Compliance Division provide a wide range of services to our internal and external stakeholders. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the Firm's invaluable reputation for integrity and protect the Firm from sanctions with a Legal and Compliance framework that meets regulatory requirements. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm's businesses.
Global Financial Crimes (GFC) - Australia
GFC Australia is responsible for ensuring the business is in compliance with the Anti-money laundering and counter terrorism financing (AML/CTF) laws and regulations of Australia as well as the internal Morgan Stanley firm-wide GFC policies and procedures. Our mandate covers all areas including ML/TF, Sanctions, Bribery and corruption, Fraud and Franchise Risk. GFC Australia covers all AML-regulated businesses in Australia, including Wealth Management (WM) and Institutional Securities Group (ISG). WM includes both retail and private wealth management (PWM) services. ISG includes investment management (IM), Institutional Equities Division and Fixed Income Division (IED/FID) and Investment Banking Division and Global Capital Markets (IBD/GCM).
Respond to the daily queries received from the business regarding Know Your Customer (KYC) and Customer Identification Procedures (CIP), Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD), Customer Risk Rating, politically exposed persons (PEPs), and KYC/CDD Periodic reviews.
Conduct review and approvals on various daily requests, including: enhanced due diligence (EDD) for high-risk clients, politically exposed persons (PEPs), PEP status reviews, KYC/CDD waivers, customer risk rating changes.
Conduct monthly Alerts and Filings reviews of high-risk clients
Evaluate overdue reviews and implement dormancy on accounts
Other Reviews/Investigations/Suspicious Matters
Conduct ad hoc or trigger event reviews and investigations
Escalating cases or incidents of suspicious matters to the Money Laundering Reporting Officer (MLRO).
Monitoring and Screening
Assist with second level reviews on client and transaction OFAC/sanctions screening alerts.
Assist with second level reviews on transaction monitoring alerts.
Assist with second level reviews on negative news/PEP alerts.
Ensure the above alerts received are closed in a timely manner or before deadline.
Escalate a 'positive hit/match' and/or suspicious matter or transaction as a result of the Firm's monitoring and screening.
Create case items where applicable.
Participate in AML-related system and process development and enhancement projects (e.g. User acceptance testing (UAT) for system changes).
Tracking and Reporting
Maintain registers for Enquiries, SMRs, and other metrics
Collate metrics and report offshore on a regular basis.
Assist in delivering training to business and support units on any of the above, when required.
Comply with the ethical standards contained within the Code of Conduct; and
Adhere to Company policies and procedures, regulatory and legislative requirements.* LI-GK2
Key Competencies/ Skills
Have a sound level of understanding and working knowledge of the Australian AML/CTF laws and regulations, particularly as they pertain to CIP/KYC/CDD.
Be familiar with the AML/CTF Programs of other key jurisdictions to which certain Australian businesses' customers must adhere to. Ensure advice given to the business is in line with the requirements of those jurisdictions.
Be proficient in navigation and usage of Morgan Stanley GFC and certain business-related systems.
Help secure system access for offshore MS employees/contractors assisting Australia GFC.
Have a sound level of understanding and working knowledge of the Morgan Stanley Australia AML/CTF Program- Part A and B. Ensure advice given to the business is in line with the AML/CTF Program requirements.
Have a sound level of understanding and working knowledge of the Morgan Stanley Global AML/CTF and KYC Policies, Procedures and Standards. Ensure advice given to the business is in line with the internal global requirements.
Personal Attributes/Interpersonal skills
Ability to work effectively in a small team environment
Ability to work independently, if required
Excellent verbal and written communication skills
Strong analytical skills
Ability to work under pressure when required
Qualifications/ Experience Required
Tertiary qualified or equivalent in a relevant business discipline;
In depth, broad and relevant working experience in the financial services industry;
Strong experience in managing teams; and
Relevant experience in equity sales and trading, research and/or investment banking.