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 to grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. Department 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, Anti-Corruption and Government and Political Activities Compliance programs. 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. Background on the Team The GFC Core Functions Group coordinates and supports critical aspects of Morgan Stanley's Global Financial Crimes Program while promoting consistency across business lines and regions in the day-to-day implementation of the GFC strategy. The team's primary responsibilities include the continuing enhancement of the GFC Program through the drafting and implementation of GFC policies and procedures; execution and analysis of AML, economic sanctions, and anti-corruption risk assessments; oversight of and advisory support regarding the Firm's Know Your Customer efforts; testing and quality assurance reviews; and central oversight of GFC's monitoring controls . Reporting Lines This role reports to the Risk Assessment Coordinator. Primary Responsibilities The Risk Assessment Professional will: - Assist the Risk Assessment Coordinator in all phases of the risk assessment process, including planning, data gathering, analysis, and reporting - Aid in the enhancement of the existing risk assessment framework and reporting process, including through updates to the assessment methodology and by identifying additional quantitative risk data points for use in evaluating the Firm's inherent risks and control strength - Coordinate and support projects related to the risk assessment process, such as engaging with internal groups to source additional data for use in the risk assessment and conducting benchmarking exercises with peer firms - Support the process for updating the Firm's assessment of country risk - Assist in the preparation of periodic and ad hoc metrics reports for regulators, senior compliance management, including through the evaluation and enhancement of existing metrics and supporting processes - Coordinate with other compliance and risk areas in connection with their risk assessment processes - Such additional responsibilities as may be identified
Skills required (essential) - 4-year college degree - 3-5 years of experience in compliance, preferably at large/complex financial institutions - Strong analytical and project management skills - Proficient in Excel, including using pivot tables, and creating formulas - Possess an understanding of banking, including broker-dealer product knowledge - Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license - or certification within 15 months of hire
Skills desired - Prior experience with risk assessments processes and methodologies - Knowledge and experience with any of the following: AML, Economic Sanctions and Anti-Corruption regulatory requirements. - Have excellent written and verbal communications skills, attention to detail and strong time management skills - Possess strong analytical thinking and critical reasoning skills - Have excellent interpersonal skills and ability to work effectively with colleagues across regions and Business Units - Have the ability to effectively handle a fast paced environment and successfully meet established deadline requirements - Be self-motivated and must have the ability to work independently
Internal Number: 4754547
About Morgan Stanley USA
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