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Director – Compliance
| Company | Morgan Stanley |
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| Location | New York, NY, USA |
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| Salary | $134640 – $135000 |
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| Type | Full-Time |
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| Degrees | Bachelor’s |
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| Experience Level | Senior |
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Requirements
- Requires a Bachelor’s degree in Law, International Legal Studies, or related
- two (2) years of experience in the position offered or two (2) years of experience as a Director, Manager, Compliance, Lawyer, Legal Consultant, or related occupation in the financial crimes field
- two (2) years of experience with: Advising on the adequacy and effectiveness of financial crime related policies, procedures and controls; Researching and advising on financial crime related regulations, policies, and procedures; Applying policy, procedures and controls to prospect and client scenarios escalated for review; Drafting memos and presenting prospect and client financial crime risk assessments; Leveraging knowledge of world politics to investigate and dispose of negative media related to financial crimes; Participating in client investigations; Analyzing financial crimes trends and typologies; Identifying and analyzing suspicious financial crimes activity; and Enhancing financial crimes programs.
Responsibilities
- Partner with and provide direction to Business, Legal and Compliance teams on issues related to anti-money laundering (AML), sanctions, and anti-corruption laws and regulations
- Support special projects arising from the administration of the Financial Crimes programs
- Support Financial Crimes Advisory teams’ information productions related to regulatory and legal requests, internal audits, and overseeing document productions
- Assist with large scale program remediations
- Manage program related to provision and receipt of AML letters and due diligence questionnaires
- Coordinate with operational teams on day-to-day requests related to financial crime related issues with specific accounts
- Provide advisory support in connection with Know Your Customer (KYC) onboarding, enhanced due diligence and transactional due diligence matters
- Review escalated issues regarding client matters with significant reputational risk and potential financial crimes exposure
- Advise on transactional due diligence with respect to clients, counterparties, co-investors, and target companies/assets and provide guidance to the business on due diligence requirements
- Review escalated issues related to Know Your Customer (KYC) obligations, including collection of documentation related to complex structures and higher risk customers
- Review escalated suspicious financial crimes activity scenarios raised for review.
Preferred Qualifications
No preferred qualifications provided.
