Morgan Stanley

Global Financial Crimes Advisory Director (AVP)

Morgan Stanley$150K — $200K *
Finance & Insurance
5 - 7 years of experience
Job Overview by Ladders

Qualifications

  • 5+ years of relevant experience in financial crimes compliance, ideally in financial institutions or regulatory bodies.
  • In-depth knowledge of AML laws, sanctions, and anti-corruption regulations.
  • Familiarity with Investment Management products and services, including mutual funds and private equity.
  • Self-motivated with strong abilities to work independently and as part of a global team.
  • Excellent analytical and problem-solving skills under pressure.
  • Exceptional communication skills, both written and verbal, with strong attention to detail.
  • CAMS certification or equivalent AML certification required within 15 months of hire.

Responsibilities

  • Serve as escalation point for Know Your Customer (KYC) onboarding and due diligence matters.
  • Assist in conducting due diligence for clients and investments, guiding business compliance.
  • Review client risk escalations by analyzing background checks and documentation.
  • Evaluate financial crimes risks linked to clients and transactions for improved risk management.
  • Help draft and execute policies and procedures governing financial crime management.
  • Participate in compliance committees to align business practices with regulation.
  • Deliver training to business units on financial crime compliance and regulatory changes.

Benefits

  • Comprehensive health insurance plans for employees and their families.
  • Retirement savings plans with employer matching contributions.
  • Generous paid time off and flexible work arrangements.
  • Educational assistance for continuous professional development.
  • Wellness programs and resources to support work-life balance.
Full Job Description
We are seeking someone to join our team as a Global Financial Crimes (GFC) : Institutional Securities Group (ISG) Financial Crimes Advisory Professional.

In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Director level position within the Institutional Securities Group (ISG) Financial Crime Advisory team which focuses on the financial crimes obligations associated with the Firm's Investment Banking and Global Capital Markets Businesses.

The ISG Financial Crimes Advisory Professional will be based in New York and report to the Americas Head of GFC Investment Banking and Global Capital Markets Coverage. The ISG Financial Crimes Advisory Professional will be tasked with responsibility for the day-to-day execution of the overall ISG financial crimes program, with a focus on AML, for the Investment Banking and Global Capital Markets Businesses at Morgan Stanley.

What you'll do in the role:
  • Serve as point of escalation and provide support in connection with Know Your Customer (KYC) onboarding, enhanced due diligence and transactional due diligence matters
  • Assist in transactional due diligence with respect to clients, co-investors, and investments and provide guidance to the business on due diligence requirements
  • Assist in client risk escalation review process, reviewing background checks, due diligence documentation and analyzing financial crimes and reputational risks
  • Assist in the review and approval of New Product Approval
  • Identify and evaluate financial crimes risks related to clients, counterparties, and/or transactions
  • Assist in the development and communication of a GFC risk view with respect to clients, counterparties, and/or transactions
  • Serve as members on various business, compliance and risk committees
  • Provide guidance and support to Operations team in their implementation of Global KYC Standards and country-level standards
  • Draft/revise and execute on policies and procedures
  • Providing financial crimes subject matter expertise on changes in regulatory requirements and serving as an effective advisor to the business, legal, risk and Operations on financial crimes matters
  • Deliver training to the BUs, risk, legal, compliance and other first-line and other support functions
  • Assist with escalations in connection with regulatory interpretation and application of facts in connection with policies


What you'll bring to the role:
  • 5+ years of relevant experience, preferably at an asset manager, large/complex financial institution, law firm, or government/regulatory body
  • Detailed understanding of the laws, rules, and regulations pertaining to AML as well as sanctions and anti-corruption
  • Solid knowledge of Investment Management, including Registered Mutual Funds, Investment Advisory Mandates, Private Equity, Real Estate and Fund of Fund Investing
  • Highly-motivated self-starter able to work independently while collaborating and coordinating as part of a global program
  • Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment
  • Exceptional written and verbal communications skills, attention to detail, and effective time management
  • Sound judgment and an ability to manage and appropriately escalate issues internally > > Outstanding interpersonal skills and team-player attitude
  • CAMS certification - be certified as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license - or certification within 15 months of hire

About Morgan Stanley

Morgan Stanley Investment Management are active managers of capital, working to outperform the market and deliver results for their clients. Morgan Stanley Investment Management's long-tenured professionals apply their experience and expertise across public and private markets, in single-sector, multi-asset and custom solutions.

Morgan Stanley Careers

Joining Morgan Stanley today means becoming part of a global team dedicated to strengthening communities, pioneering innovation, and fostering diversity. As a leading global financial services firm, Morgan Stanley offers unparalleled job opportunities, career growth, and a culture of leadership that together create an exceptional employment experience. Work You’ll Do At Morgan Stanley, you will collaborate with knowledgeable professionals to drive innovation and deliver solutions in financial services. Our team is composed of diverse, talented individuals who bring their unique skills and perspectives to work every day, setting the standard for leadership in the global market. Morgan Stanley is not just a company; it's a place where ambitious, creative, and skilled individuals can build a rewarding career. Here, you can experience the benefits of a vibrant culture dedicated to professional growth and diversity training. Internship Programs Kickstart your career with Morgan Stanley’s internship programs. These positions offer invaluable industry insights and professional experience to students and recent graduates. Interns at Morgan Stanley gain hands-on experience, working alongside seasoned experts in a dynamic, supportive environment. Innovation and Professional Growth We believe in the power of innovation to solve complex problems and encourage our team to think differently and act boldly. Morgan Stanley supports your career development through comprehensive training, development programs, and leadership workshops, ensuring that every employee has the tools they need to succeed. Join Our Team Explore the various job opportunities at Morgan Stanley, from entry-level positions to executive roles. We are hiring individuals who are passionate about finance and eager to contribute to a team that values integrity, excellence, and a forward-thinking mindset. Enhance your skills through our networking events, mentorship opportunities, and ongoing professional development. Stay Connected Keep up to date with the latest from Morgan Stanley Careers by subscribing to our job alert emails. Tailor your preferences to receive updates about new postings, career tips, and exclusive insights from our team leaders. Apply Now Ready to take the next step in your career? Search open positions that match your skills and interests on the Morgan Stanley Jobs portal. Prepare your resume, refine your interview techniques, and join a company that values innovation and leadership. At Morgan Stanley, we’re not just building careers—we’re developing leaders. Discover how far your talents can take you by joining our team today.
Learn more about Morgan Stanley
Size
77,000 employees
Market Cap
$144.1 billion
Industry
Net Income
$10.9 billion
Founded
1935
5 Year Trend
+10%
Revenue
$52 billion
NASDAQ

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