Assistant Vice President, Risk Management

Morgan Stanley Smith Barney LLC is seeking an Assistant Vice President, Risk Management in Miami, Florida to support the ongoing enhancement and governance of the Firm’s Financial Crimes risk management framework, across U.S. banking, wealth management, brokerage, and investment management platforms, including AML, KYC, Sanctions, and related regulatory programs. Support the interpretation of U.S. and international regulatory requirements and assist in translating regulatory expectations into actionable business and operational requirements across domestic and cross-border client segments.

Support the execution of strategic Financial Crimes initiatives, including process redesign, control enhancements, and program transformation efforts, with a focus on scalable solutions applicable to global client populations and understand of varying jurisdictional requirements. Assist in developing operating models, workflows, and governance structures to support scalable and sustainable program execution applicable across domestic and international client segments. Support the assessment and remediation of findings from risk assessments, internal audits, and regulatory exams, ensuring solutions address both U.S

regulatory expectations and international risk considerations. Help ensure appropriate documentation of risk decisions, control enhancements, and program changes. Contribute to initiatives focused on strengthening the Firm’s control environment and enhancing program maturity including improvements to client risk assessment methodologies, enhanced due diligence frameworks, beneficial ownership controls, and cross-border client risk management practices. Support continuous improvement efforts aligned with evolving regulatory expectations, business needs, and operational priorities.

Support preparation of materials, reporting, and presentations for senior management and governance forums. Telecommuting permitted up to 2 days per week.

• Requires a Master’s degree in Law or a related field.
• Requires two (2) years of experience in the position offered or two (2) years as an Associate, Enhanced Due‑Diligence, Paralegal, Law Clerk, or a related occupation.
• Requires two (2) years of experience with the following skills:
  Applying knowledge of U.S. Anti-Money laundering and Counter‑Terrorist Financing (AML/CFT) regulatory frameworks, including requirements under the Bank Secrecy Act, USA Patriot Act, FinCEN Regulations, and the FFIEC BSA/AML Examination Manual;
  Anti‑Money laundering and Know‑Your‑Customer compliance obligations under SEC regulations, FINRA rules, Federal Reserve supervisory expectations, OCC guidance, and the Investment Advisers Act of 1940 and Securities Exchange Act of 1934;
  Assessing international financial crime risks, including multi‑jurisdictional regulatory frameworks, cross‑border client structures, and differences in beneficial ownership, corporate registries, and legal transparency regimes;
  Understanding of financial crime typologies across jurisdictions, including risks related to offshore structures, shell companies, money laundering, corruption‑related proceeds, and politically exposed persons (PEPs), with particular exposure to Latin American regulatory and risk environments;
  Utilizing knowledge of financial crime risk typologies relevant to Latin America, including risk associated with offshore structures, shell companies, trade‑based money laundering, corruption‑related proceeds, politically exposed persons, and complex cross‑border asset flows, and assessing how their risks intersect with U.S. regulatory expectations for financial institutions onboarding international clients;
  Assessing and evaluating financial…