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Global Financial Crimes (GFC) coordinates day-to-day implementation of the Firm’s enterprise-wide, including E*TRADE, 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-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.
Background on the Team
The U.S. Investigations group is responsible for monitoring, investigating and reporting potential suspicious activity.
This role reports to the Co-Heads of U.S. Investigations for the Americas. The role has several direct reports and has supervisory responsibilities over the U.S. Investigations professionals assigned.
Oversight responsibility for and supervision of the U.S. Investigations team located in Baltimore that
Analyzes, investigates and resolves transactional alerts, adverse media alerts and other escalations that flagged as potentially suspicious
Reviews escalations for payments related to government and internal watch list alerts, including evaluating and analyzing payments to determine approval, rejection or the need for further investigation
Respond to questions from the business and risk organizations regarding GFC processes, procedures and individual matters
Analyze and review alert closure codes / comments by analysts to ensure Firm quality review standards are met
Review suspicious activity reports prior to filing with FinCEN
Represent U.S. Investigations team in presentations to regulators and Internal Audit, as needed
Proactively manage risks to the GFC program by recognizing significant risks in processes and technology, developing solutions and escalating significant issues timely to management
Assist with the integration of E*TRADE monitoring and investigation processes
Work on other special projects as needed
Skills required (essential)
Candidates must have:
4 year college degree with strong academic credentials
8 to 10 years of experience with Bank Secrecy Act (BSA)/AntiMoney Laundering Regulations within the financial services industry, or at a financial services regulator (e.g., Office of the Comptroller of the Currency, Federal Reserve Bank, Securities and Exchange Commission, Federal Deposit Insurance Corporation)
Developed investigative skills (inquiry and analysis, organization and presentation of findings (both written and verbal)
Experience managing a staff of financial crimes investigation professionals
Excellent written and verbal communications skills
Excellent judgment, initiative and adherence to deadlines
Excellent interpersonal skills and ability to interact with senior business, risk and legal and compliance stakeholders
Highly responsive team player who can think independently
Ability to manage multiple priorities and tasks with the skills to adapt to changes in a fastpaced environment
Certification as an AntiMoney Laundering Specialist by ACAMS or equivalent AML certification/license – or certification within first 15 months of employment
Strong understanding of the financial markets and banking, including brokerdealer product-based knowledge
Experience in change management and reorganization and/or integrating teams and processes
Internal Number: 3172189
About Morgan Stanley
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