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 Americas Head of GFC Institutional Securities Group (ISG) coverage will be based in New York and report directly to the Americas Head of ISG and MSIM Financial Crimes Advisory. The Americas Head of GFC ISG coverage will be tasked with leading a team of Morgan Stanley personnel in the Americas (including Canada and Latin America) with responsibility for the day-to-day execution of the overall financial crimes program, with a focus on AML, for the Institutional Securities business at Morgan Stanley, which includes investment banking, global capital markets, fixed income, and institutional equities.

Specific job responsibilities include: 

• Supervision of Americas-based financial crimes advisory team (including Canada and Latin America) regarding all financial crimes compliance matters, with a particular focus on AML;
• Serve as point of escalation and provide support in connection with Know Your Customer (KYC) onboarding, enhanced due diligence and transactional due diligence matters
• Advise on transactional due diligence with respect to clients, counterparties, co-investors, and target companies/assets and provide guidance to the business on due diligence requirements
• Advise on the performance of customer risk ranking reviews
• Assist in the review and approval of New Product Approvals
• Provide oversight on the review and resolve of negative news and sanctions escalations
• Develop and communicate a GFC risk view with respect to clients, counterparties, and/or transaction
• Draft/revise and execute on policies and procedures
• Develop content and deliver training to the BUs, risk, legal, compliance and other first-line and other support functions
• Serve as point of escalation and provide support in connection with regulatory interpretation and application of facts in connection with policies
• Serve on various business, compliance and risk committees
• Assist with responding to U.S. regulatory exams and other inquiries, and internal audits, including overseeing document production
• 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
• Represent the Firm in relevant industry groups and other external forums