EMEA Financial Crimes – Investigations - Director

  • Competitive
  • Glasgow, Scotland, United Kingdom
  • Permanent, Full time
  • Morgan Stanley
  • 22 Aug 17

See job description for details


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

Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world.

They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.

Team 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. 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.

The EMEA Financial Crimes Group is based in London with approximately 30 employees focused on the AML, sanctions and anti-corruption obligations associated with the Firm’s business in the region. It is led by the International Head of Financial Crimes who reports to the EMEA Regional Head of Compliance and the Global Head of Financial Crimes.

A new sub-team is being recruited in Glasgow during 2017.

Primary Responsibilities

Financial Crimes Investigations - t he primary responsibilities include:

-Conducting time-sensitive, internal and external investigations of potential suspicious financial activity, among multiple Business Units and GFC coverage areas, utilizing a wide variety of research and analytical tools

-Acting as the first point of contact for Level 3 transaction monitoring, negative news and sanctions screening escalations for EMEA

-Querying and mining large data sets to discover transaction patterns, examine financial data and filter for targeted information using traditional as well as predictive/advanced analytic methodologies -Analysing trends and patterns in alerts for GFC coverage areas using advanced analytic tools


Qualifications:


Skills Required

The ideal candidate will possess the following skills and attributes:

-Recent experience of Anti-Money Laundering Compliance, KYC Operations, testing, investigations or other risk/control functions an advantage

-Understanding of financial markets and products (in particular, Equities, Fixed Income, Commodities and Investment Banking/Capital Markets)

-Knowledge of Money Laundering Regulations in the UK and in other jurisdictions in which the Firm operates

-Experience in Know Your Customer requirements including customer due diligence and enhanced due diligence an advantage

-Demonstrate meticulous attention to detail

-Possess strong written and verbal communications skills

-Have excellent interpersonal skills and ability to work effectively with colleagues across the Legal and Compliance Division (in UK, across the Firm's EMEA offices and in other regions), other Infrastructure and Control Functions (e.g. Operations)

-Possess strong analytical thinking and critical reasoning skills

-Possess the ability to research and resolve issues independently while working across teams to acquire information

-Have the ability to effectively handle a fast paced environment and work to tight deadlines; be able to re-prioritise work in response to changes in business needs, without compromising standards

-Be able to recognize and escalate risks and issues appropriately

-Be self-motivated and have the ability to work independently and as part of a team

-Be able to handle highly confidential information with appropriate discretion

-Have demonstrable good judgment (e.g. able to apply regulatory requirements to unique transaction/client situations)

Qualifications

-Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license – or certification within 15 months of hire

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.*LI-KH1