Financial Crimes Assurance – Director (AVP)
Glasgow
JR033636
About Morgan Stanley
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.
About Global Financial Crimes
In Global Financial Crimes (GFC), you will play a critical role in identifying potentially suspicious activity, protecting vulnerable individuals, and safeguarding the integrity of the financial system. GFC coordinates day-to-day implementation of the Firm's financial crime prevention efforts, including governance, oversight, and execution of the Firm's Anti-Money Laundering (AML), Sanctions, Anti-Corruption and Government and Political Activities Compliance programs.
If you are passionate about financial crimes prevention, seeking a rewarding and dynamic career, and focused on making a difference, then GFC might be the right team for you.
As part of Morgan Stanley’s ongoing commitment to prevent and detect financial crimes – including money laundering, terrorist financing, economic sanctions, and bribery/corruption – the Firm has adopted a comprehensive, risk-based program to ensure compliance with counter- terrorism and AML laws, rules, regulations. The successful candidate will work closely with the GFC Testing team members, business unit and applicable GFC teams to plan and execute testing on financial crime-related processes performed by groups outside of GFC, as well as at third-party vendors.
What will you be doing?
- Contributing to the delivery and execution of risk-based financial crimes testing to review and assess the design adequacy and operational effectiveness of the Firm’s financial crimes procedures, processes, and controls.
- Contribute to test scope and design specific testing steps for each applicable financial crime test.
- Participating in walkthroughs / interviews with key stakeholders to document and assess process and controls within test work papers, and drafting report.
- Coordinate the investigation and escalation of potential issues and documentation of agreed actions plans.
- Managing closure verification of actions following review completion, including the assessment of evidence to support closure.
- Preparing aspects of financial crime testing Management Information on the outcomes and findings of completed testing.
- Help enhance the financial crime testing programme as it evolves, liaising with relevant global teams.
What we’re looking for:
- Relevant work experience in a financial institution, consulting firm or equivalent within financial crimes.
- Experience in interpreting regulatory risk, laws, or regulations.
- Understanding of financial crimes requirements and framework AML / KYC.
- Understanding of the audit, assurance and testing processes and approaches.
- Familiar with the risk and control framework at a financial institution.
- Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent certification/license – or certification within first 15 months of employment.
- Investigative skills: inquiry and analysis, interviewing, testing and organisation.
- Ability to research and resolve issues while working across teams to acquire information.
- Ability to manage multiple priorities and tasks with the skills to adapt to changes.
Where will you be working?
This role is based in 122 Waterloo Street, Glasgow
#GLFC
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.
To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.
Certified Persons Regulatory Requirements:
If this role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.
Flexible work statement
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 opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.
Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.
For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo .
