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E*TRADE from Morgan Stanley · 3 weeks ago

Global Financial Crimes: Wealth Management Advisory Officer - Vice President

Dallas, Texas, United States of America

Full-time

Hybrid

Senior Level, Lead/Staff

8+ years exp

E*TRADE from Morgan Stanley is a global leader in financial services, seeking a Global Financial Crimes: Wealth Management Advisory Officer. The role involves overseeing the execution of the financial crimes prevention program and providing guidance on AML, sanctions, and anti-corruption laws while collaborating with various stakeholders across the Firm.

BankingFinanceFinancial Services

Responsibilities

Support key projects and initiatives related to assessing and mitigating the Firm's exposure to money laundering and other financial crimes

Provide guidance, support, and effective challenge to business teams on issues related to AML, sanctions, and anti-corruption laws and regulations

Serve as a point of escalation on financial crimes questions and provide support in connection with interpretation of regulations and Firm policies

Partner with stakeholders to prioritize changes impacting the WM GFC program in a risk-based manner, including those that come through the formal Change Management process

Decision client matters with significant reputational risk and potential financial crimes exposure

Assist with GFC WM's responses to relevant regulatory exams and other inquiries, and internal audits, including overseeing data and document productions

Represent GFC WM on various committees and interact with key stakeholders across the business and risk functions

Review new product proposals from a financial crimes risk perspective which includes analyzing for potential vulnerabilities related to money laundering, economic sanctions evasion and tax evasion. Attend any New Product review meetings, including the Firm's New Products Committee (the NPC)

Identify weaknesses, gaps, and areas for enhancement across processes and platforms that impact GFC, determine appropriate solutions and lead corrective action efforts

Liaise and coordinate within GFC and with key stakeholders across the Firm to ensure appropriate execution of the Firm's WM financial crimes prevention program

Qualification

Anti-Money Laundering (AML)Sanctions programsFinancial crimes experienceRegulatory complianceRisk assessmentAnalytical skillsStakeholder influenceConsensus buildingDiscretionCommunication skillsTeamworkProject managementInterpersonal skillsAttention to detailProblem-solvingConfidentialityPresentation skillsSelf-starterAdaptabilityTime management

Required

Bachelor's degree with strong academic credentials

8+ years of relevant anti-money laundering and/or other financial crimes 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 skills with an ability to understand complex workflows, and excellent attention to detail

Deep functional knowledge of the WM/Bank industries and applicable AML KYC rules, regulations, policies, and processes with preferred knowledge of and experience of Anti-Money Laundering (AML) and Sanctions programs

Excellent verbal and written communication skills

Ability to express complex ideas and risk analysis in formal presentations and written documentation

Ability to manage timelines/deadlines, multiple projects and prioritize tasks in a rapidly changing environment

Sound judgment and an ability to appropriately escalate issues internally

Ability to handle highly confidential information with appropriate discretion, develop internal relationships, influence stakeholders, and build consensus, and thrive in an evolving workplace

Outstanding interpersonal and teamwork skills to collaborate as a global team and build strong relationship with key stakeholders across divisions

Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license or certification within first 15 months of employment