Talent.com
Global Financial Crimes : IM Advisory Director (AVP) (New York)

Global Financial Crimes : IM Advisory Director (AVP) (New York)

Morgan StanleyNew York, NY, United States
job_description.job_card.variable_hours_ago
serp_jobs.job_preview.job_type
  • serp_jobs.job_card.full_time
job_description.job_card.job_description

Global Financial Crimes Investment Management Advisory Director

We are seeking a Global Financial Crimes Investment Management Advisory Director.

Global Financial Crimes (GFC) coordinates day-to-day implementation of the Firm's enterprise-wide financial crime prevention efforts. GFC has responsibility for governance, oversight and execution of the Firm's Anti-Money Laundering (AML), Economic Sanctions, Anti-Tax Evasion, 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. The Investment Management (IM) Financial Crime Advisory group focuses on the financial crimes obligations associated with the Firm's IM businesses, including Registered Mutual Funds, Investment Advisory Mandates, Private Equity, Private Credit, Real Estate and Fund of Fund Investing.

What you'll do in the role :

The IM Financial Crimes Advisory Professional will be based in New York and will ultimately report to the Global Head of Service Provider Oversight. The IM Financial Crimes Advisory Professional will be tasked with responsibility for the day-to-day execution of the overall IM financial crimes program including overseeing the third-party service providers, with a focus on AML, for the IM businesses at Morgan Stanley, including Eaton Vance. Specific job responsibilities include :

  • Serve as point of escalation and provide support in connection with Know Your Customer (KYC) onboarding, enhanced due diligence and transactional due diligence matters
  • Conduct due diligence on new and pre-existing service providers that are contracted for financial crimes processes
  • Assess monthly and quarterly management reporting for failures in the escalation process from the service providers
  • Conduct site visits to the service providers as part of oversight functions and tests
  • Develop quarterly and annual board reporting for the Public and Private Side fund boards.
  • Assist in the review and approval of New Product Approvals across IM
  • Review sanctions escalations from internal and external parties
  • Identify and evaluate financial crimes risks related to clients, counterparties, and / or transactions
  • Develop and communicate a GFC risk view with respect to clients, counterparties, and / or transactions
  • Address inquiries from BUs, Risk, Legal, Compliance, and other first- and second-line functions on customer onboarding
  • Represent IM Financial Crimes Advisory on various business, compliance, and risk governance and other committees;
  • 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 BUs, Legal, Risk and Operations on financial crimes matters
  • Deliver training to the BUs, Risk, Legal, Compliance and other first-line and other support functions
  • Serve as point of escalation and provide support in connection with regulatory interpretation and application of facts in connection with policies
  • Liaise and coordinate within GFC and with key stakeholders across the Firm, including Legal, Compliance, Regulatory Relations, and Risk, to ensure appropriate execution of the Firm's enterprise-wide financial crimes prevention program

What you'll bring to the role :

Bachelor's degree required - 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 Asset Management, including Registered Mutual Funds, Investment Advisory Mandates, Private Equity, Private Credit, 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 certified - be certified as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification / license or obtain certification within 15 months of hire.

What you can expect from Morgan Stanley :

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 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.

Expected base pay rates for the role will be between 90,000 and 155,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership / union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M / F / Disability / Vet).

serp_jobs.job_alerts.create_a_job

Director Financial • New York, NY, United States

Job_description.internal_linking.related_jobs
  • serp_jobs.job_card.promoted
Senior Manager - CFIUS Security Compliance Advisor

Senior Manager - CFIUS Security Compliance Advisor

EisnerAmperIselin, NJ, United States
serp_jobs.job_card.full_time
At EisnerAmper, we look for individuals who welcome.EisnerAmper is looking to hire a.Risk and Compliance Services practice as a dedicated member of the National Security Advisory services team.The ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
  • serp_jobs.job_card.promoted
Global Financial Crimes Digital Assets Advisory Officer - Vice President

Global Financial Crimes Digital Assets Advisory Officer - Vice President

Morgan StanleyNew York, NY, US
serp_jobs.job_card.full_time
Vice President, Digital Assets Advisory.Discover your next career opportunity with Morgan Stanley, where we are committed to helping our employees build meaningful careers, and where you can learn,...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
  • serp_jobs.job_card.promoted
Sr. Claims Specialist - Financial Institutions

Sr. Claims Specialist - Financial Institutions

Axis CapitalRed Bank, NJ, United States
serp_jobs.job_card.full_time
This is your opportunity to join AXIS Capital - a trusted.We stand apart for our outstanding client service, intelligent risk taking and superior risk adjusted returns for our shareholders.We also ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
  • serp_jobs.job_card.promoted
  • serp_jobs.job_card.new
Digital Risk Advisory Lead

Digital Risk Advisory Lead

SanofiMorristown, NJ, US
serp_jobs.job_card.full_time
At Sanofi, we're committed to providing the next-gen healthcare that patients and customers need.It's about harnessing data insights and leveraging AI responsibly to search deeper and solve sooner ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_hours
  • serp_jobs.job_card.promoted
Associate Director, US Federal and State Compliance

Associate Director, US Federal and State Compliance

Novartis Group CompaniesEast Hanover, NJ, United States
serp_jobs.job_card.full_time
The AD, US Federal and State Compliance is responsible for the leadership, management, and execution of US tax compliance as thought leader on the various dimensions of US federal and state tax.The...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
  • serp_jobs.job_card.promoted
Senior Claims Specialist - EPL / Fiduciary

Senior Claims Specialist - EPL / Fiduciary

Axis CapitalRed Bank, NJ, United States
serp_jobs.job_card.full_time
This is your opportunity to join AXIS Capital - a trusted.We stand apart for our outstanding client service, intelligent risk taking and superior risk adjusted returns for our shareholders.We also ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
  • serp_jobs.job_card.promoted
Bursar, Finance Director

Bursar, Finance Director

Province Of Our Lady Of Guadalupe IncButler, NJ, United States
serp_jobs.job_card.full_time
Organizational background and Mission .We Franciscans owe our inspiration to Francesco di Bernardone, an affluent young merchant from the Italian town of Assisi, who in 1206 renounced his wealth an...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
  • serp_jobs.job_card.promoted
CMA

CMA

Seabrook Village by Erickson Senior LivingTinton Falls, NJ, United States
serp_jobs.job_card.full_time +1
Seabrook Village by Erickson Senior Living.NOW HIRING : Per diem and part time weekends.Apply and we will reach out to discuss availability. CMA with CNA certification strongly preferred.Certified Me...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
  • serp_jobs.job_card.promoted
Regional Director, Pru Advisors - Greater New Jersey Financial Group

Regional Director, Pru Advisors - Greater New Jersey Financial Group

Prudential FinancialHolmdel, NJ, US
serp_jobs.job_card.part_time
Do you enjoy roles where you can lead sales teams and help them achieve their goals? What about one where you potentially could make an impact with hundreds of clients and their families? Read on t...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
  • serp_jobs.job_card.promoted
Director Risk Advisory (Strategic & Operational)

Director Risk Advisory (Strategic & Operational)

CrossCountry ConsultingNew York, NY, US
serp_jobs.job_card.full_time
Director Risk Advisory (Strategic & Operational).By joining our rapidly growing Risk Advisory practice you will serve as a trusted partner to our clients. You'll bring your first-hand experience, u...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
  • serp_jobs.job_card.promoted
Securities Settlements Director (AVP)

Securities Settlements Director (AVP)

Morgan StanleyNew York, NY, US
serp_jobs.job_card.full_time
Director In Wealth Management Operations.We're seeking someone to join our team as a Director in Wealth Management Operations to manage our Government Securities Settlement team.In the Operations d...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
  • serp_jobs.job_card.promoted
Remote Finance Director - AI Trainer

Remote Finance Director - AI Trainer

Data AnnotationNew Brunswick, New Jersey
serp_jobs.filters.remote
serp_jobs.job_card.full_time +1
We are looking for a finance professional to join our team to train AI models.You will measure the progress of these AI chatbots, evaluate their logic, and solve problems to improve the q...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
  • serp_jobs.job_card.promoted
Remote Finance Advisor - AI Trainer

Remote Finance Advisor - AI Trainer

Data AnnotationNew Brunswick, New Jersey
serp_jobs.filters.remote
serp_jobs.job_card.full_time +1
We are looking for a finance professional to join our team to train AI models.You will measure the progress of these AI chatbots, evaluate their logic, and solve problems to improve the q...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
  • serp_jobs.job_card.promoted
Regional Director AMER- Treasury

Regional Director AMER- Treasury

HoneywellMorris Plains, NJ, US
serp_jobs.job_card.full_time
Regional Guide AMER - TRE (Treasury).This position is intended to convey to the new, independent company, to be named Solstice Advanced Materials when the separation occurs.This is expected to occu...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
  • serp_jobs.job_card.promoted
Global Account Director

Global Account Director

Crane WWValley Stream, NY, US
serp_jobs.job_card.full_time
Job Category : Account Management.Requisition Number : GLOBA005915.Direct and independent management of new, large scale account implementations and setup on a global basis.Develop scope of work docu...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
  • serp_jobs.job_card.promoted
Sr. Director, Finance Lead Biologics Platform

Sr. Director, Finance Lead Biologics Platform

Zoetis, IncParsippany, NJ, United States
serp_jobs.job_card.full_time
Reporting to the Head of Finance, Global Manufacturing & Supply, the Sr.Director, Finance Lead Biologics Platform will be responsible for the Platform Finance organization, including oversight and ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
  • serp_jobs.job_card.promoted
Complex Claims Consulting Director - Financial Lines D&O / E&O

Complex Claims Consulting Director - Financial Lines D&O / E&O

CNA InsuranceVillage of Tarrytown, NY, United States
serp_jobs.job_card.full_time
Complex Claims Consulting Director - Financial Lines D&O / E&O.CNA strives to create a culture in which people know they matter and are part of something important, ensuring the abilities of all empl...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
  • serp_jobs.job_card.promoted
Director, Investor Relations

Director, Investor Relations

Grayscale InvestmentsStamford, CT, United States
serp_jobs.job_card.temporary
Grayscale is a crypto-focused asset manager.We have over a decade of operational experience managing crypto funds and pioneered the model of offering exposure to cryptocurrencies in the form of a s...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days