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.
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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 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 US Investigations team monitors and investigates transactions for suspicious activity.
This role reports ultimately to the Head of US Investigations. The role does not have direct reports.
The US Investigations Professional will:
Analyze, investigate and resolve surveillance items flagged as potentially suspicious transactions or exceptions, with a focus on events that may have resulted in Firm, employee or client information being lost, stolen or acquired by an unauthorized party.
Receive and monitor escalations that arise from employee submissions to the Incident Response System (iRespond), the Firms central reporting point for incidents of potential fraud, inappropriate disclosure, misdirected communication or other suspicious activity.
Review and monitor client accounts and transactions for potential matches to adverse media alerts, designated sanctions targets and prohibited persons lists
Review outgoing wire payment exceptions generated from government watch list alerts, including evaluating and analyzing payments to determine approval, rejection or the need for further investigation
Investigate potentially suspicious activity arising from account surveillance, branch or business unit escalations, and Grand Jury subpoenas
Assist in the investigation, drafting and filing of Suspicious Activity Reports
Conduct due diligence searches in various third-party and internal databases
Assist with other areas of the AML ISG Program (e.g., Foreign Bank Certification reviews, OFAC/Sanctions analysis, periodic reviews, special projects, trade surveillance inquiries)
Assist with compliance with USA PATRIOT Act requirements (e.g., CIP, Foreign Bank Certification, Section 312) relating to certain of the Banks’ business sectors
Respond to questions from the Wealth Management branches and business unit personnel
Skills required (essential)
Candidates must have:
4 year college degree with strong academic credentials
1 to 5 years of Anti-Money Laundering experience and strong analytical skills
Strong understanding of the financial markets and banking, including broker-dealer product-based knowledge, and the ability to research or must evidence the ability to learn and adapt quickly
Excellent written and verbal communications skills, attention to detail and strong time management skills
Excellent judgment, initiative and adherence to deadlines
Developed investigative skills - inquiry and analysis, interviewing, testing, organization and presentation (both written and verbal)
Excellent interpersonal skills and ability to interact with branch and business unit personnel in a mature and professional manner and apply feedback on work product from supervisor(s)
Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license – or certification within first 15 months of employment
Candidate should be a highly responsive team player who can think independently
Must be able to maintain a positive and professional attitude in a fast-paced environment
Experience with Office of the Comptroller ("OCC") regulations and bank safety and soundness guidance provided by the Federal Financial Institutions Examination Council ("FFIEC")
Experience with mortgage, retail, institutional lending or FX businesses
Internal Number: 3170035
About Morgan Stanley
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