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Company Profile Morgan Stanley (the Firm) 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 43 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, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Department Profile Professionals within the Legal and Compliance Department provide a wide range of services to our business units. 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 policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.
Team Profile Global Financial Crimes (GFC) coordinates day-to-day implementation of the Firm's enterprise-wide financial crime prevention efforts. GFC includes several legal and compliance disciplines and has responsibility for governance, oversight and execution of the Firm's Anti-Money Laundering (AML), economic sanctions and anti-corruption policies. 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 and anti-corruption obligations and its particular clients and transactions.
The investment management and funds advisory role will provide financial crimes advice to the Morgan Stanley Investment Management (MSIM) business, which comprises public and private side funds across multiple jurisdictions, and large discretionary managed portfolios.
The EMEA Financial Crimes Group is based in London and Glasgow with approximately 35 employees focused on AML, Sanctions, Anti-Corruption and Anti-Tax Evasion. It is led by the EMEA Head of Financial Crimes who reports to the EMEA Head of Compliance and the Global Head of Financial Crimes.
Assist with Firm's oversight programme relating to Transfer Agents including, but not limited to, initial due diligence reviews, risk assessments, ongoing communication and oversight
Liaise with MSIM Operations teams in Luxembourg and London in relation to the onboarding of new investors to Luxembourg, Irish and UK AML rules
Responsible for responding to queries from all areas of the MSIM business on day to day Financial Crimes related inquiries (e.g. client on-boarding, Fund related matters, policy guidance)
Responsible for liaising with MSIM Private business to advise on KYC requirements for transactional due diligence; review of risk reports and escalation of financial crimes considerations to the relevant personnel as appropriate (anti-corruption, sanctions, AML)
Perform daily, weekly and ad hoc negative news and sanctions screening checks as required
Assist in reviewing escalations arising from payments screening
Assist and provide cover to other advisory functions as required
The ideal candidate will possess the following skills and attributes:
Degree educated or equivalent
Recent experience of Anti-Money Laundering Compliance, KYC Operations or other risk/control functions an advantage
Understanding of financial markets and products (in particular, asset management and funds)
Knowledge of Money Laundering Regulations in the UK and in other jurisdictions in which the Firm operates (Knowledge Luxembourg and/or Irish regulations would be an advantage)
Experience in Know Your Customer requirements including customer due diligence and enhanced due diligence an advantage
Ability to work effectively on multiple reviews with different individuals at the same time
Ability to manage multiple priorities and tasks with the skills to adapt to changes in a fast-paced environment
Demonstrate meticulous attention to detail
Possess strong written and verbal communications skills
Have excellent interpersonal skills and ability to work effectively with internal and external stakeholders
Possess strong analytical thinking and critical reasoning skills
Possess the ability to research and resolve issues independently while working across teams to acquire information
Have the ability to effectively handle a fast paced environment and work to tight deadlines; be able to re-prioritise work in response to changes in business needs, without compromising standards
Be able to recognise and escalate risks and issues appropriately
Be self-motivated and have the ability to work independently and as part of a team
Be able to handle highly confidential information with appropriate discretion
Have demonstrable good judgment (e.g. able to apply regulatory requirements to unique transaction/client situations)
Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license – or certification within 15 months of hire
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.*LI-FH1