GFC Professional (Legal and Compliance)vacancy available at Morgan Stanley -Mumbai, Maharashtra.
Full job description:
GFC Professional (Legal and Compliance)
Job Number:
3259182
POSTING DATE: Sep 18, 2024
PRIMARY LOCATION: Non-Japan Asia-India-Maharashtra-Mumbai (MSA)
EDUCATION LEVEL: Refer to Position Description
JOB: Other
EMPLOYMENT TYPE: Full Time
JOB LEVEL: Director
DESCRIPTION
Global Financial Crimes: Policies & Training Director
Division: Legal and Compliance Division
Location: Mumbai, India
Job Level: Director
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.
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
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), 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.
Background on the Team
Morgan Stanley is committed to a strong Financial Crimes program to protect against the use of the Firm’s 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.
Reporting Lines
This role will report ultimately to the Head of GFC Policies & Training and will work closely with team members and colleagues in New York, Baltimore, London, and Hong Kong. The role does not have direct reports.
Primary Responsibilities
This role will support the Policies and Training teams to fulfill its responsibilities, especially concerning aspects of these responsibilities that involve online and technology tools and leverage Morgan Stanley platforms, including, among other things:
Policies
Coordinating with subject matter experts on updates to GFC Policies and related documents
Tracking the status of updates to Policies and related documents, maintaining charts to ensure the governance process has been followed before updated documents are uploaded to the Firm’s PolicyPortal, and tracking completion progress and preparing metrics relating to the annual GFC Policy Plan
Assisting with the publication of new policies through the Global Financial Crimes Compliance Notice process and publication on the PolicyPortal
Maintaining the Global Financial Crimes Intranet pages on Jive
Respond to Audit and Regulatory requests for Policy-related documents, as needed
Coordinating with members of the Global Compliance department on Firmwide policies and procedures issues, such as the creation of templates
QUALIFICATIONS
Training
Coordinate with Global Compliance Training, HR and HR IT Integration teams for online course assignment and implementation
Participating in user testing of Firmwide online training courses and reporting results
Facilitating the post-roll out activities of the Firmwide annual online trainings and tracking completion status, including the management of requests for training exemptions and extensions in Cornerstone OnDemand (the Firm’s learning management system).
Executing on the annual GFC Training Plan, including scheduling targeted trainings (globally), sending surveys to track attendance and feedback, maintaining training records, and tracking completion progress and preparing metrics relating to the annual GFC Training Plan.
Assisting with updating training modules and content on the Global Financial Crimes Training Bank
Assisting with the assignment and tracking of GFC New Hire trainings
Compiling and coordinating the dissemination of the monthly Financial Crimes newsletter
Respond to Audit and Regulatory requests for Training-related documents, as needed
Skills Required (essential)
Candidates must have:
5 – 8 years professional experience in a Legal or Compliance role
strong verbal and written communication skills in English
strong organizational and project management skills with prior experience planning, coordinating and tracking progress on large projects
familiarity with global training rollouts and implementation, or knowledge of learning management systems and tools
the ability to work independently with minimal supervision and also work with a team
excellent interpersonal skills necessary to work effectively with colleagues across regions and business units
strong Word, Excel and PowerPoint skills, and an interest in and willingness to learn new technology applications
be certified as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license – or certification within 15 months of hire
Skills Desired
professional experience at a large financial institution or in a training or policy-related role
experience in Anti-Money Laundering (AML), Economic Sanctions, Anti-Corruption, Anti-Tax Evasion, and/or Government and Political Activities Compliance
law degree or prior compliance experience considered a plus
facility with technology/learning new software
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.
