- Review enhanced due diligence for both new and existing higher risk clients including analyzing corporate structures and other documentation as necessary
- Analyze and escalate financial crimes negative news as necessary
- Determine and provide guidance on the appropriate client risk ranking
- Review potential true hits from screening and follow-up with appropriate Business Units (typically via Business Unit Risk Management representatives) and GFC to gather further information.
- Draft EDD and politically exposed persons (PEP) case summaries including all relevant information about the client, screening results and risk mitigants, and escalate the summaries to the appropriate GFC colleagues/teams.
- Monitor regulatory developments and drive implementation of new rules or requirements.
- Provides guidance on policy and procedures to stakeholders
- Conduct training to various stakeholders Qualifications
- Bachelor's degree
- At least 5 years of relevant experience in AML Compliance or regulatory compliance work.
- Possess experience in know your customer requirements including customer identification program, customer due diligence and EDD.
- An analytical mindset with attention to detail.
- Strong oral and written communication skills in English and Mandarin.
- Possess the ability to research and resolve issues independently while working across teams to acquire information.
- Ability to independently interact with senior business management.
- Strong team player and ability to operate in an international environment.
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Global Financial Crimes: APAC ISG Client Risk Unit, Director/ VP, Hong Kong - Morgan Stanley
描述
Global Financial Crimes: APAC ISG Client Risk Unit, Director/ VP, Hong KongJob Number:
Posting Date
:May 6, 2024Primary Location
:Non-Japan Asia-Hong Kong-Hong Kong-Hong KongEducation Level:Bachelor's DegreeJob
:OtherEmployment Type:Full TimeJob Level:Director DescriptionAbout the Firm
Morgan Stanley (NYSE: MS) is a leading global financial services firm providing a wide range of investment banking, securities, wealth management and investment management services. With offices in 42 countries, the firm's employees serve clients worldwide including corporations, governments, institutions and individuals. For further information about Morgan Stanley, please visit .
About the Team
Morgan Stanley's GFC team, an integral part of the global Legal and Compliance Division, is charged with day-to-day oversight and coordination of the AML, economic sanctions, anti-corruption, anti-tax evasion, and political activity obligations program covering all of the Firm's various businesses globally, including Institutional Securities (Investment Banking, Capital Markets, Equities, Fixed Income) and Investment Management.
Headquartered in Hong Kong, the APAC GFC team also includes dedicated personnel in Singapore, Sydney, Tokyo, Zhuhai and Mumbai.
The Firm is currently seeking a driven and seasoned professional to cover the Institutional Securities Group (ISG) in the Client Risk Unit. This role is based in Hong Kong.
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, Anti-Tax Evasion, 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, anti-corruption, anti-tax evasion, and political activity obligations and its particular clients and transactions.
About the Role
The Client Risk Unit is responsible for evaluating client relationships that pose the highest financial crimes risk, while also serving as a check and challenge over the first line's execution of enhanced due diligence. As a Client Risk Unit Professional in GFC, you will:
Qualifications
