Global Financial Crimes, Investigations/Financial Intelligence Unit (Manager)

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Morgan Stanley
  • 25 Apr 18 2018-04-25

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, achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Division Profile
Professionals within the Legal and Compliance Division provide a wide range of services to our internal and external stakeholders. 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 a Legal and Compliance framework that meets regulatory requirements. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm’s businesses.

Department Profile
Morgan Stanley Global Financial Crimes (“GFC”) coordinates day-to-day implementation of the Firm’s enterprise-wide Anti-Money Laundering Program and required regulatory reporting. GFC provides advice and counsel to the business units and employees worldwide regarding their AML, economic sanctions and Anti-boycott compliance obligations. 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 obligations and its particular clients and transactions.

Team Profile
The Financial Intelligence Unit (FIU) and Investigations team performs the following functions to strengthen enterprise-wide AML risk management and safeguard the Firm from financial crime risk:
- Develop proactive intelligence relating to financial crimes, including: money laundering, terrorist financing, global sanctions, corruption, external fraud, cyber threats and high-risk customers
- Conduct analyses of relevant data to identify trends/patterns/emerging threats, as well as other information that may be useful to the Firm
- Lead global coordination related to: high risk clients, politically exposed persons, STR processes
- Drive case investigations that supplement the efforts of other GFC groups
- Receive, request, analyze and disseminate information relating to suspicious activities in order to improve GFC’s monitoring processes and case results
- Liaise with law enforcement and participate in law enforcement and industry led working groups

Primary Responsibilities
The FIU and Investigations Professional will:
- Analyze large data sets to discover transactional patterns, examine financial data and filter for targeted information using traditional as well as advanced analytic methodologies
- Conduct cross-sector reviews of client account activity among multiple Business Units and GFC coverage areas
- Monitor industry developments, including red flags and best practices and ensure processes are in place to keep the FIU team updated on such developments
- Conduct internal and external investigations of money laundering and other financial crimes both independently and in collaboration with other internal stakeholders
- Collaborate with Business Units and GFC coverage areas to analyze trends in suspicious activity
- Assist in developing proactive initiatives
- Liaise with Legal and Compliance, IT, and other key stakeholders and partners with respect to technology projects and other initiatives impacting the FIU
- Analyze and synthesize data and prepare presentations and reports for various governance and risk committees
- Ensure that all analysis is completed in a timely and efficient manner, while maintaining the highest standards for regulatory and compliance requirements


Skills Required
Candidates must:
- Have a bachelor’s degree with strong academic credentials
- Have 5-7 years of professional experience in an AML, compliance or internal audit capacity or experience within a financial services firm or regulatory agency or investigative due diligence experience in professional consultancy
- Have working knowledge of AML laws and regulations relative to money laundering and terrorism financing
- Have experience creating PowerPoint presentations and deliverables for senior stakeholders
- Have experience and ability to create user friendly Excel spreadsheets from large sets of raw data
- Possess strong analytical thinking and critical reasoning skills
- Have the ability to effectively handle a fast paced environment and successfully meet established deadline requirements
- Have excellent interpersonal skills and ability to work effectively with colleagues across regions and Business Units
- Be self-motivated and must have the ability to work independently
- Have excellent written and verbal communications skills in English, attention to detail and strong time management skills. Fluency in written Chinese (traditional or simplified) advantageous
- Certification as an Anti-Money Laundering Specialist by ACAMS