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), Economic Sanctions, Anti-Corruption 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 and anti-corruption obligations and its particular clients and transactions.

Background on the Team

The AML group focuses on the anti-money laundering obligations associated with the Firm’s businesses.  The group is comprised of two main functions. The first focuses on the enhanced due diligence associated with new clients and accounts.  The second monitors and investigates transactions for suspicious activity.  Both teams roll up to the Head of AML for the Americas.

Reporting Lines

This role reports ultimately to the Head of Wealth Management GFC Advisory.  The role does not have direct reports.

Primary Responsibilities

The WM GFC Advisory Professional will:

• 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
• Engage various third-party and internal databases to assist with due diligence searches as needed
• Assist with the review of client accounts for potential matches to designated sanctions targets and prohibited persons lists
• Participate in team meetings lead by the Head of WM GFC Advisory or designee
• Respond to questions from the field when escalated
• Document Enhanced Due Diligence review findings including all pertinent facts and information to support result