EMEA Global Financial Crimes Assurance - VP

Title

EMEA Global Financial Crimes Assurance - VP

Location

Glasgow

Level

Vice President

Job ID

JR029919

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.

Department Profile

Global Financial Crimes is responsible for the development and governance of the firm's financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti Money Laundering (AML), Sanctions, Anti Tax Evasion (ATE), Anti Boycott, Anti Corruption (ACG) and Government and Political Activities Compliance (GPAC) programs.

Team Profile

The team helps deliver the Financial Crimes Testing Plan, which provides independent assurance that the firm is meeting its regulatory obligations and has controls in place to mitigate AML, Sanctions, ATE, and ACG risks. The Testing program covers all applicable Morgan Stanley businesses that could be exposed to financial crimes risks and the team covers EMEA and Global scope.

Primary Responsibilities

• Lead and manage the development, implementation and execution of risk based Financial Crimes testing on design adequacy and operating effectiveness of the firm's financial crimes procedures, processes and controls.
• Ensure timely completion of applicable tests within the annual test plan and timely completion of action plan closure verification.
• Guide team members in all phases of a test (including scoping and designing specific testing steps, test report drafting) and review work product completed by team members.
• Communicate test results, present identified issues to the business, operations and GFC management, and work with the business and other stakeholders to develop corrective action plans to remediate findings, where applicable.
• Present test plan, status and results in management meetings.
• Communicate and coordinate with other professionals in the organization, including GFC advisory teams, other Monitoring and Testing Groups and Internal Audit.
• Remain current on industry rules, regulations and best practices to ensure the testing program meets regulatory standards.
• Help enhance the Financial Crimes testing program as it evolves, liaising with relevant global teams, and contributing to global discussions on testing matters and sharing best practice.

Skills Required

• Over 10 years of Testing/Monitoring/Assurance or Audit experience at a financial institution.
• Excellent communication skills - written and oral, and ability to describe complex issues accurately and succinctly.
• Experience in interpreting regulatory risk, laws, or regulations.
• Experience in team management and leading teams to complete assignments.
• Understanding of audit and testing processes and approaches.
• Excellent time management skills, attention to detail, and ability to execute tasks within tight deadlines.
• Ability to facilitate meetings among stakeholders with diverse points of view.
• Good interpersonal skills and ability to work effectively with colleagues across regions globally and business units.
• Previous demonstrable experience of managing and developing junior staff.

Skills Desired

• Ability to effectively handle a fast paced environment and successfully meet established deadline requirements.
• Developed investigative skills: inquiry and analysis, interviewing, testing and organization, including strong attention to detail.
• Ability to research and resolve issues independently while working across teams to acquire information.
• Ability to work effectively on multiple tests with different individuals at the same time.
• Ability to manage multiple priorities and tasks with the skills to adapt to changes in a fast paced environment.
• Excellent interpersonal skills necessary to work effectively with colleagues of all levels of seniority across regions and business units; able to question and challenge established processes.

What You Can Expect From Morgan Stanley

At Morgan Stanley, we raise, manage and allocate capital for our clients - helping them reach their goals. We do it in a way that's differentiated and we've done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - guide our daily decisions. You'll find opportunities to work alongside the best and brightest in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by diverse backgrounds and experiences. We proudly support our employees and their families at every stage of their career journey, offering comprehensive benefits and perks in the industry.

To learn more about our offices across the globe, please visit .

Certified Persons Regulatory Requirements

If this role is deemed a Certified role, the holder may be required to maintain mandatory regulatory qualifications or meet internal company benchmarks.

Flexible Work Statement

Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.

Equality Statement

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce reflects a wide range of backgrounds, talents, perspectives, and experiences. Our commitment to inclusion is evident through our focus on recruiting, developing, and advancing individuals based on their skills and talents.