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

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), 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.  GFC has dedicated coverage managers and teams of analysts who advise and counsel each business unit regarding its AML, economic sanctions, anti-corruption, anti-tax evasion, and political activity obligations and its particular clients and transactions.

Group Profile

Morgan Stanley is committed to a strong GFC program to protect against the use of the Firm’s products, services, and facilities for prohibited transactions or the purpose of evading, avoiding or otherwise circumventing sanctions, AML, anti-corruption, anti-tax evasion, and political activity laws and regulations. The Firm has adopted a comprehensive, risk-based program to ensure compliance with applicable laws, regulations and government guidance. GFC Legal Advisory provides legal advice, expertise, and guidance to all business lines and works closely with senior members of GFC in support of the enterprise-wide program.

Primary Responsibilities

The Institutional Securities Group (“ISG”) GFC Advisory and Onboarding Professional will be based in Baltimore and report directly to the Americas Head of GFC ISG.  The GFC ISG Advisory team is tasked with the day-to-day execution of the overall financial crimes program, with a focus on AML, for the Institutional Securities business at Morgan in the Americas (including Canada and Latin America), which includes investment banking, global capital markets, fixed income, commodities and institutional equities.

Specific job responsibilities include:

• Assist in in providing support in connection with Know Your Customer (KYC) onboarding, enhanced due diligence and transactional due diligence matters
• Assist in advising on transactional due diligence with respect to clients, counterparties, co-investors, and target companies/assets and providing guidance to the business on due diligence requirements
• Conduct comprehensive enhanced due diligence reviews of both new and existing clients including analyzing corporate structures and other documentation as necessary
• Develop an understanding of anti-money laundering regulations, policies, and procedures
• Assist in developing and communicating a GFC risk view with respect to clients, counterparties, and/or transactions
• Assist in developing content and delivering trainings to the business, risk, legal, compliance and other first-line and support functions
• Assist in drafting and executing on policies and procedures
• Review various third-party and internal databases to assist with due diligence searches as needed
• Assist with the review of clients and client accounts for potential matches to designated sanctions targets and prohibited persons lists
• Participate in various business, GFC and ISG GFC Advisory meetings
• 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