Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firms 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.
Global Financial Crimes (GFC) coordinates day-to-day implementation of the Firms enterprise-wide financial crime prevention efforts. GFC includes several legal and compliance disciplines and has responsibility for governance, oversight and execution of the Firms Anti-Money Laundering (AML), Sanctions, 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. 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.
Background on the Team
Morgan Stanley is committed to a strong Financial Crimes program to protect against the use of the Firms products, services and facilities for prohibited transactions or the purpose of evading, avoiding or otherwise circumventing sanctions, AML or anti-corruption regulation. The Firm has adopted a comprehensive, risk-based program to ensure compliance with applicable laws, regulations and government guidance. The successful candidate will work collaboratively with each of the business unit and regional teams to coordinate, implement, and track global policy and training initiatives both for the Financial Crimes Group and for targeted business units.
This role will report ultimately to the Head of GFC Policies & Training in New York and will work closely with other team members in New York and Baltimore, Maryland. The role does not have direct reports.
Policies, Procedures and Training Team Responsibilities That This Role Will Support
This role would support the Policies, Procedures and Training team to fulfill its responsibilities, especially concerning aspects of these responsibilities that involve online and technology tools and leverage Morgan Stanley platforms, including:
Annual GFC Global Online training to all employees and contingent workers: facilitating the roll out of the training and tracking completion status , including the management of requests for training exemptions and extensions in Cornerstone OnDemand (the Firms learning management system)
Targeted Training of Business Units: sending calendar invitations to large groups, sending surveys to track attendance and feedback, tracking and following up on survey completion status, tracking completion progress of the annual plan and preparing metrics of completion progress
Policies and Procedures and managing the process to ensure that policy owners update policies before the deadline to update them: tracking the status of policy updates, uploading policies to the Firm policy portal and maintaining charts to track and ensure that the governance process has been followed before policies are uploaded, preparing monthly reports on expired policies, and tracking progress of the Training and Policies annual plans
The Global Financial Crimes Policies, Procedures & Training Professional will, among other things:
- Assist with tracking and uploading of attendance records for Global Financial Crimes-related trainings according to internal Global Financial Crimes procedures, which involves learning multiple internal Firm systems, including Cornerstone OnDemand (the Firms learning management system)
- Develop/manage a regular internal training series for the Financial Crimes Group for APAC
- Work with APAC Financial Crimes coverage teams to develop training content
- Assist in the development of the AML Groups annual targeted training plan for APAC
- Manage APAC Financial Crimes Lessons Learned program
- Maintain and update the External Training Tracker, which details professional development participation for Global Financial Crimes officers
- Assist with updating of training modules on the Global Financial Crimes Training Bank
Policies & Procedures Responsibilities:
- Maintain and update the Global Financial Crimes procedures database
- Maintain and update the Global Financial Crimes Intranet pages
- Compile and coordinate the dissemination of the monthly Financial Crimes newsletter
- Ensure policies and procedures are maintained in compliance within regulatory and global MS standards
- Coordinate with members of the Global Compliance department on Firm-wide policies and procedures issues, such as the creation of templates
- Assist with the publication of new policies through the Global Financial Crimes Compliance Notice process
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