ISGM - Financial Crimes Risk - VP

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.

The Financial Crimes Risk ("FCR") Team is embedded within the Firm’s business line. It is responsible for identifying, assessing, and escalating potential financial crimes risk issues associated with higher risk client types. The FCRCO Team is considered the first line of defense and supports the onboarding and enhanced due diligence processes for Morgan Stanley. This role focuses on the financial crime obligations associated with the Firm’s Investment Banking and Global Capital Markets businesses.

• Provide financial crime advisory support to IBD/GCM stakeholders relative to proposed transactions
• Effectively develop and communicate a first‑linerisk view with respect to clients, counter parties, and/or transactions
• Review EDD Profile and documentation (including all screening results) to evaluate the relevant risk factors driving the higher risk rated customers and document analysis, including rationale to approve or decline customer and draft summary statement
• Review risk‑relevant matters associated with prospective clients identified during Client Due Diligence (CDD) and EDD processes to ensure continued knowledge of the existing client base and any material changes to client information
• Assist in the review and approval of ‘New Product Approval’ requests
• Facilitate timely completion of the KYC refresh process across all risk rankings
• Prepare periodic reporting for senior stakeholders
• Challenge existing systems and processes, looking for enhancements and efficiencies where possible
• Support work on other special projects, as needed
• Represent the ISG FCRCO Team in relevant governance forums
• Provide supervisory support and training for FCRO Associates and Analysts through developing individual and team skills and providing timely, constructive feedback
• Role will require in office attendance 4 days/week

• 5+ years professional experience in a financial crimes/anti‑money laundering group (or similar) at a financial institution
• Professional experience in investment banking (e.g. M&A advisory) and capital markets (e.g. debt equity underwriting products) strongly preferred
• Bachelor's degree or equivalent

• Strong analytical skills to identify and assess relevant AML risks including all screening results
• Strong interpersonal skills and ability to communicate effectively both verbally and in writing
• Intermediate to Advanced knowledge of Microsoft Office tools (Word, PowerPoint, Excel, and Access)
• Strong leadership qualities with the ability to manage teams and evidence a strong work ethic as well as a high degree of integrity
• Working knowledge of local AML Rules and Regulations would be advantageous (although not essential, initially)
• Strong knowledge of business, products, operations, systems and organization
• Ability to leverage investigative or due diligence skills to work on complex files
• Certification as an Anti‑Money Laundering Specialist by ACAMS or equivalent AML certification/license – or certification within first 15 months of employment

• Multitask effectively, identify priority matters and action promptly
• Work independently and in a team environment
• Handle highly confidential information with appropriate discretion
• Work in a matrixed organization, leveraging resources across the organization to complete deliverables
• Work in a high volume, fast paced environment

• Strong foreign language/translation skills in:
  Spanish, Portuguese

We are committed to maintaining the first‑class service and high standard of excellence that have defined Morgan Stanley for over 85 years. Our core values guide the more than 80,000 employees in 1,200 offices across 42 countries:

• Putting clients first
• Doing the right thing
• Leading with exceptional ideas
• Committing to…