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Company Profile 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 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 Morgan Stanley's Global Financial Crimes (GFC) Group, an integral part of the global Legal and Compliance Division, is charged with day-to-day oversight and coordination of the AML, Sanctions and Anti-Corruption Program covering all of the Firm's various businesses globally.
Background on the Team Headquartered in Hong Kong, the Asia Financial Crimes Group includes dedicated personnel in Singapore, Australia and Tokyo.
Background on the Position Based in Hong Kong and reporting to the Regional Lead of ISG AML Coverage, this role will cover our Institutional Securities Group (ISG) of businesses e.g. Fixed Income and Commodities, Global Capital Markets, Institutional Equities, Investment Banking and Research, and assist in implementing and executing our Asia ISG AML program including, but not limited to: -AML Policy & Procedure -Advisory -High Risk Client Reviews -PEP Reviews -Client Screening (RDC) -Payment Screening -Suspicious Transaction Surveillance & Reporting -OFAC/Sanctions Issues -Client reviews/enquiries -Reports & Statistics (Local & Global) -Training -Sensitive Client Reviews -Thematic Reviews (e.g. China clients etc.) -Review & Documentation of AML Group Procedures
Primary Responsibilities -Providing coordination and oversight of the Asia Financial Crimes compliance coverage plan in close collaboration with location compliance officers; -Drive the delivery of relevant compliance and regulatory projects and compliance initiatives; -Supporting the coordination and escalation of compliance issues to relevant compliance coverage and/or senior management as required; -Providing supervisory oversight and play an active role in respect of locally or centrally required training; compliance reporting and policy governance; -Assisting local compliance teams in regional project implementation – ensure local offices are made aware of global and regional plans; -Advising on, and resolving, potential AML issues which arise across Asia jurisdictions covered by Asia Financial Crimes; -Monitoring of regulatory developments and new rules or requirements -Drafting and implementing appropriate AML policies and procedures and enhancements in collaboration with location compliance officers
Skills required (essential) -Bachelor's degree -At least 8-10 years (for VP) of relevant experience in AML Compliance, Regulatory experience preferably relating to Financial Institutions, Banking or Securities industry -Strong knowledge of global and regional AML regulations -An analytical mind with attention to detail and project management experience -Strong oral and written communication skills in English with Chinese language skills preferred