EMEA Financial Crimes Compliance Officer

  • Competitive
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Morgan Stanley
  • 21 Aug 18 2018-08-21

See job description for details

Company Profile

Morgan Stanley (the Firm) 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

Professionals within the Legal and Compliance Department provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the Firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.

Team 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), economic sanctions and anti-corruption policies. 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 and anti-corruption obligations and its particular clients and transactions.

The EMEA Financial Crimes Group is based in London and Glasgow with approximately 45 employees focused on AML, Sanctions, Anti-Corruption and Anti-Tax Evasion. It is led by the EMEA Head of Financial Crimes who reports to the EMEA Head of Compliance and the Global Head of Financial Crimes.

Primary Responsibilities

The new role will support the Anti-Tax Evasion, Non-UK Co-ordination, Regulatory Developments and Lessons Learned programs within GFC, including in the delivery of financial crimes-related ad hoc projects and would suit someone looking to gain exposure to a broad number of financial crimes areas.

Specific job responsibilities will include:

Anti-Tax Evasion
- Providing assistance and first level review of approval requests for the Anti-Tax Evasion teams.
- Collation and production of the monthly and quarterly Anti-Tax Evasion metrics and first analysis of data to identify trends/patterns.
- Collation and preparation of presentation materials/decks for relevant Financial Crimes forums.

Non-UK EMEA Co-ordination
- Assistance with initial phases of regulatory reporting and requests, e.g. data gathering, outreach and follow-up with stakeholders, initial sense-check.
- Obtaining/validating data to update country annexes and Non-UK procedures
- Assistance with Non-UK co-ordination on regional and global initiatives/projects, Manual screening of clients where automated processes are not available/required.
- Maintaining inventory of financial crimes-related documents (such as policies, procedures, manuals, standards, training supplements) across Non-UK EMEA.
- Assistance with reviews of financial crimes-related metrics, information and reports prepared by Non-UK EMEA Compliance,

Regulatory Developments and Lessons Learned

- Capturing and tracking of progress of action plans to address enhancements required in relation to internal and external developments.
- First level review of incoming alerts and developments, e.g. to establish whether they are relevant for the Financial Crimes function.

- Coordinating, tracking and completion of Financial Crimes action plan items.
- Project managing aspects of the Financial Crimes program and bespoke project (e.g. collating, summarizing, reviewing and analyzing relevant information in relation to bespoke projects).


Skills required

The ideal candidate should possess the following skills and attributes:

- Project management experience
- Professional experience gained within a financial services or consulting firm preferred

- Excellent communication skills; able to present complex matters succinctly to a range of audiences
- Advanced presentation skills; ability to produce high quality written materials (e.g. power point presentations, briefing notes)
- Ability to manage their own workload and respond to changes in reprioritization
- Demonstrate attention to detail
- Have excellent interpersonal skills and ability to work effectively with colleagues across the Legal & Compliance Division
- Possess strong analytical thinking and critical reasoning skills
- Possess the ability to research and resolve issues independently while working across teams to acquire information
- Highly-motivated self-starter with the ability to work independently while collaborating and coordinating as part of a global program
- Detail-oriented, flexible and diligent
- Proficiency with MS Word, Excel, PowerPoint, and Access

- Have strong academic credentials
- Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license – or certification within 15 months of hire

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.*LI-FH1