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.
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), 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 Government and Political Activities Compliance Group (GPAC) focuses on compliance with U.S. federal, state and municipal regulations governing interactions with U.S. government officials, including political contribution/pay-to-play regulations, lobbying laws, and gifts & entertainment/ethics rules across all of Morgan Stanley’s various Business Units. GPAC designs, executes, and monitors applicable policies, procedures, and controls governing employees’ political activities and interactions with U.S. government officials.
The GPAC Officer will provide advisory coverage to business units on the various aspects of U.S. government interactions, and will be responsible for administering the Firm’s policy on U.S. political contributions and fundraising activities of employees, as well as compliance with applicable U.S. federal, state and municipal rules that govern business interactions with government entities. This includes:
Managing the firm’s pre-clearance processes for employee and corporate political activities, outside government/political activities, post-government employment restrictions and gifts and business entertainment requests for U.S. Government Officials
Monitoring and testing adherence to the firm’s political law compliance program
Creating and conducting trainings for business units, as well as other areas that serve a control function, to address pay-to-play and governmental ethics issues
Advising on and assisting with the firm’s various political law filings such as lobbying reports and pay-to-play certifications
Collaborating cross-functionally with other GFC and Legal and Compliance stakeholders on the development and implementation of technology projects, internal audits, regulatory requests and implementation of controls for the overall political law compliance program
Maintaining and updating applicable policies and procedures consistent with current regulations.
Knowledge of US pay-to-play and ethics issues at federal, state and municipal levels
3+ years of relevant experience, preferably at a large/complex financial institution, law firm, or government/regulatory body.
Exceptional written and verbal communications skills, attention to detail, effective time management and project management.
Articulate, poised and comfortable with direct interaction with business clients and senior management within Legal and Compliance
Technology savvy with ability to quickly learn new systems and tools, and to identify and implement enhancements
Proficient in Microsoft Outlook, Word, Excel, PowerPoint, Access, SharePoint, and Adobe
The ability to succeed in a fast-paced environment
About Morgan Stanley
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