EMEA Financial Crimes Compliance – Program Validation

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Morgan Stanley
  • 19 Feb 18 2018-02-19

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

Department Profile
The EMEA Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firm’s compliance with core regulatory requirements covering all businesses including Institutional Sales and Trading (fixed income, commodities, equities), Investment Banking, Research Investment Management and Private Wealth Management Business across the EMEA region.

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 35 employees focused on AML, Sanctions, Anti-Corruption and Anti-Tax Evasion. It is led by the EMEA Head of Financial Crimes who reports to the EMEA Regional Head of Compliance and the Global Head of Financial Crimes.

Primary Responsibilities

- Revalidating aspects of the EMEA GFC framework against FCA and other regulators’ rules and guidance to ensure it remains in line with regulatory expectations.
- Executing reviews (including liaising with colleagues across Legal and Compliance Division and other functions), collating and analysing data, and documenting findings.
- Project managing actions identified as part of the reviews.


Skills required

- Recent audit, operational risk, legal or compliance experience in a banking, law firm or management consulting environment.
- Project management experience – ability to partner and motivate others to develop and deliver timely and effective solutions for a specific issue.

- Degree educated or equivalent
- Knowledge of Regulatory Developments in relation to Financial Crimes
- Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license – or certification within 15 months of hire.

- Demonstrate meticulous attention to detail.
- Possess strong written and verbal communications skills.
- Previous experience of recommending and implementing enhancements to processes.
- 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).

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

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-FH1