EMEA Financial Crimes Compliance – ISG Advisory EMEA Financial Crimes Compliance – ISG Advisory …

Morgan Stanley
in Glasgow, Scotland, United Kingdom
Permanent, Full time
Be the first to apply
Morgan Stanley
in Glasgow, Scotland, United Kingdom
Permanent, Full time
Be the first to apply
See job description for details

Company Profile

Morgan Stanley (the Firm) 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.

Glasgow Profile:

Morgan Stanley’s Glasgow office employs in excess of 1,500 staff across Operations, Technology, Legal and Compliance, Internal Audit, Fund Services and Finance. Due to our growing business, we have a demand for career minded people to join our teams. Our opportunities offer unrivalled scope for progression and training within a fast paced, meritocratic and constantly changing environment. Morgan Stanley pride themselves on maintaining a culture which champions diversity, an inclusive environment for all, recognition and an opportunity to give back to our communities through various local charity partnerships. The office is located centrally and enjoys the additional benefits of an onsite gym and restaurant.

Department Profile:

Professionals within the Legal and Compliance Department 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 and anti-corruption policies. 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 and Glasgow with approximately 45 employees focused on AML, Sanctions, Anti-Corruption and Anti-Tax Evasion. It is led by the EMEA Head of Financial Crimes.

Primary Responsibilities:

- Act as an advisor to the business in relation to AML matters including due diligence, money laundering prevention and sanctions.

- Act as an escalation point on KYC matters for client onboarding teams to ensure clients are onboarded correctly and efficiently.

- Review the quality and completeness of KYC materials prepared by the Client Regulatory Services team within Operations and referred to GFC.

- Interact with clients, including hosting client calls, to explain KYC requirements and the Firm’s regulatory obligations in relation to client onboarding.

- Review and respond to client KYC and AML-related enquiries and questionnaires.

- Undertake AML-related reviews as part of the Firm’s new product approval process.

- Challenge existing systems and processes, looking for enhancements and efficiencies where possible.


Skills Required:

The ideal candidate will possess the following skills and attributes:


- Recent experience of Anti-Money Laundering Compliance or KYC Operations.

- Experience in Know Your Customer requirements including customer identification program, customer due diligence and enhanced due diligence.


- Strong knowledge of Money Laundering Regulations in the UK; knowledge of requirements in other jurisdictions in which the Firm operates is also desirable.

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


- Demonstrate a high level of 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).

Skills Desired:

- Have a University degree or equivalent experience

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

Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.

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-SW1
Learn more about our culture and the opportunities for professional growth at Morgan Stanley in Glasgow on our https://www.linkedin.com/company/morgan-stanley/life/d76d12fa-ba6b-4962-9388-f9b8c53f50c0/ LinkedIn page and https://youtu.be/Ue0vNEImMyE Youtube channel.
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