Company Profile

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.

Department Profile

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, Anti-Tax Evasion, 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, anti-corruption, anti-tax evasion, and political activity obligations and its particular clients and transactions.

Background on the Team

Morgan Stanley’s Global Financial Crimes team, an integral part of the global Legal and Compliance Division, is charged with day-to-day oversight and coordination of the AML, economic sanctions, anti-corruption, anti-tax evasion, and political activity obligations program covering all of the Firm's various businesses globally, including Institutional Securities (Investment Banking, Capital Markets, Equities, Fixed Income) and Investment Management.

Headquartered in Hong Kong, the APAC GFC team also includes dedicated personnel in Singapore, Sydney, Tokyo, Zhuhai and Mumbai.

The Firm is currently seeking a driven and seasoned professional to cover the Institutional Securities Group (ISG). This role is based in Singapore.

Responsibilities

• Advise on, and resolve, potential GFC issues arising across business units covered by the APAC GFC ISG team; significant interaction across all business units, and advising on GFC compliance in Singapore

  • Supervise know-your customer and client due diligence processes.

  • Serve as point of escalation and provide support in connection with Client Selection Committees and provide advice on new product due diligence and new business initiatives.

  • 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.

  • Supervision of KYC and client due diligence processes including assessing the financial crime risk associated with potential and existing high-risk clients.

  • Draft/revise and execute on policies and procedures.

  • Develop content and deliver training to the business units, Risk, Legal, Compliance and other first-line and support functions.

  • Monitoring of regulatory developments and new rules or requirements.

  • Assist with responding to regulatory exams and other inquiries and internal audits, including overseeing document production.

  • Investigation and escalation of ongoing monitoring alerts and queries.

  • Preparing filing of Suspicious Transaction Reports (STR).

Skills Required**

• Bachelor’s degree.

  • At least 8 years of relevant experience in Financial Crimes Compliance, regulatory experience preferably relating to financial institutions, banking or securities industry.

  • Strong knowledge of Singapore and regional AML regulations.

  • Ability to independently interact with senior business management.

  • Strong team player and ability to operate in an international environment.

  • Experience in managing a team.

  • Strong oral and written communication skills in English.

Job: *Other

Title: Global Financial Crimes, Institutional Securities Group Advisor, Vice President

Location: Non-Japan Asia-Singapore-Singapore-Singapore

Requisition ID: 3252082