Global Financial Crimes: E*TRADE and Morgan Stanley at Work Advisor
Location: Alpharetta, Georgia
Type: Full Time
Internal Number: 3232728
This role reports to the Head of GFC Advisory for E*TRADE and Morgan Stanley at Work. Primary Responsibilities The E*TRADE and Morgan Stanley at Work GFC Advisor will be part of a team that focuses on the anti-money laundering and other financial crime related obligations associated with the Firm's digital brokerage and directed share program businesses. The group focuses on a variety of tasks, including providing financial crimes related advice and guidance to the E*TRADE and Morgan Stanley at Work businesses regarding customer onboarding, client relationship evaluations and new product offerings, and serving as an escalation point for AML, sanctions, corruption and tax evasion issues.
Specific job responsibilities include:
Provide guidance and direction to business and compliance teams on issues related to AML, sanctions, and anti-corruption laws and regulations, including the USA PATRIOT Act, Bank Secrecy Act, OFAC/HMT regulations, U.S. Foreign Corrupt Practices Act (FCPA), UK Bribery Act, etc.
Serve as point of escalation and provide support in connection with Know Your Customer (KYC) onboarding, enhanced due diligence and transactional due diligence matters
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
Serve as point of escalation and provide support in connection with regulatory interpretation and application of facts in connection with policies
Identify and escalate client matters with significant reputational risk and potential financial crimes exposure
Assist in identifying and reporting suspicious activity
Drive compliance with the Firm's Global KYC Standards across the Firm
Assist with GFC's responses to U.S. regulatory exams and other inquiries, and internal audits, including overseeing document production
Lead special projects arising from the administration of the WM and Banks Financial Crimes program
Liaise and coordinate within GFC and with key stakeholders across the Firm, including Legal, Compliance, Regulatory Relations, and Risk, to ensure appropriate execution of the Firm's WM financial crimes prevention program Coordinate execution of WM and Banks Financial Crimes program changes with key stakeholders (Operations, Technology, Compliance, and GFC) Skills required
4-year college degree with strong academic credentials
5 to 7 years of relevant experience, preferably at a large/complex financial institution, law firm, or government/regulatory body
Ability to understand and assess a wide variety of complex products, services and client types
Highly motivated self-starter able to work independently while collaborating and coordinating as part of a global program
Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment
Excellent written and verbal communications skills and attention to detail
Strong project management skills
Sound judgment and an ability to appropriately escalate issues internally
Proven ability to handle highly confidential information with appropriate discretion
Outstanding interpersonal skills and team-player attitude
Proficiency with MS Word, Excel, PowerPoint, and Outlook
Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license or certification within 15 months of hire.
Strong understanding of financial markets
Highly responsive team player who can think independently
Ability to maintain a positive and professional attitude in a fast-paced environment
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