EMEA Global Financial Crimes Assurance - VP

Title

EMEA Global Financial Crimes Assurance - VP

Glasgow

Vice President

JR029919

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.

Global Financial Crimes is responsible for the development and governance of the firm's financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti Money Laundering (AML), Sanctions, Anti Tax Evasion (ATE), Anti Boycott, Anti Corruption (ACG) and Government and Political Activities Compliance (GPAC) programs.

The team helps deliver the Financial Crimes Testing Plan, which provides independent assurance that the firm is meeting its regulatory obligations and has controls in place to mitigate AML, Sanctions, ATE, and ACG risks. The Testing program covers all applicable Morgan Stanley businesses that could be exposed to financial crimes risks and the team covers EMEA and Global scope.

• Lead and manage the development, implementation and execution of risk based Financial Crimes testing on design adequacy and operating effectiveness of the firm's financial crimes procedures, processes and controls.
• Ensure timely completion of applicable tests within the annual test plan and timely completion of action plan closure verification.
• Guide team members in all phases of a test (including scoping and designing specific testing steps, test report drafting) and review work product completed by team members.
• Communicate test results, present identified issues to the business, operations and GFC management, and work with the business and other stakeholders to develop corrective action plans to remediate findings, where applicable.
• Present test plan, status and results in management meetings.
• Communicate and coordinate with other professionals in the organization, including GFC advisory teams, other Monitoring and Testing Groups and Internal Audit.
• Remain current on industry rules, regulations and best practices to ensure the testing program meets regulatory standards.
• Help enhance the Financial Crimes testing program as it evolves, liaising with relevant global teams, and contributing to global discussions on testing matters and sharing best practice.

• Over 10 years of Testing/Monitoring/Assurance or Audit experience at a financial institution.
• Excellent communication skills - written and oral, and ability to describe complex issues accurately and succinctly.
• Experience in interpreting regulatory risk, laws, or regulations.
• Experience in team management and leading teams to complete assignments.
• Understanding of audit and testing processes and approaches.
• Excellent time management skills, attention to detail, and ability to execute tasks within tight deadlines.
• Ability to facilitate meetings among stakeholders with diverse points of view.
• Good interpersonal skills and ability to work effectively with colleagues across regions globally and business units.
• Previous demonstrable experience of managing and developing junior staff.

• Ability to effectively handle a fast paced environment and successfully meet established deadline requirements.
• Developed investigative skills: inquiry and analysis, interviewing, testing and organization, including strong attention to detail.
• Ability to research and resolve issues independently while working across teams to acquire information.
• Ability to work effectively on multiple tests with different individuals at the same time.
• Ability to manage multiple priorities and tasks with the skills to adapt to changes in a fast paced environment.
• Excellent interpersonal skills necessary to work effectively with colleagues of all levels of seniority across regions and business units; able to question and challenge established processes.

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