Global Financial Crimes, Director, Monitoring and Testing

We're seeking someone to join our team as a Director in the Legal and Compliance division.

In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is an Director level position within the Oversight, Monitoring and Testing.

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.


What you'll do in the role:

• Supervise a team of Transaction Monitoring Analysts whose primary responsibilities include the following:

• Draft dispositions summaries that support the alert review outcomes, ensuring documents are clear and concise while complying with regulatory expectations.

• Ensure a high-quality work product and that the level of documentation adheres to procedural expectations.

• Participate in UAT, develop & maintain procedures and track procedural updates

• Impart training to new and existing team members

• Spend 50% time performing alert reviews along with Supervisory activities such as Quality Checks, work allocation etc.

• Ensure daily operational processing is completed according to established program SLAs and regulatory requirements.

• Review the quality of work delivered by the team with strong supervision and governance.

• Proactively identify risks to the GFC program and day-to-day; escalate on a timely basis.

• Provide process improvement to increase efficiency and effectiveness.

• Have regular 1-1s with the team and document action plans.

• Adhere to Morgan Stanley's core values and drive the same within the team.

• Respond to questions from various stakeholders including GFC colleagues, Risk partners located in the field, and other Business Unit personnel.

• Maintain good regional stakeholders connects with regular interactions.

• Adopt the firm's Gen AI agenda and implement the relevant tools within the process.

• Update procedures on a timely basis.

What you'll bring to the role:

• Typically, 5+ years’ relevant experience would generally be expected to find the skills required for this role

• Solid track record working in a professional environment.

• Bachelor's degree from an accredited college / university.

• Experience in team management preferred.

• Strong oral and written communication skills.

• Excellent interpersonal skills and ability to work effectively with colleagues across regions and Business Units.

• Ability to research and resolve issues independently while working across teams to acquire information.

• Ability to use various PC, MS Office and internet applications and tools to support the processes.

• Knowledge

• Foundational understanding of the financial markets and banking, including broker-dealer product-based knowledge and the ability to learn concepts quickly.

• Should exhibit comfort in working with technology and the ability to learn and display proficiency on technical systems and programs.

• Proficient with MS Office

• Skills and Qualities

• Team player who can successfully work with larger teams to drive common results.

• Ability to think independently and perform with minimum hand holding.

• Ability to anticipate ahead of time and escalate issues as appropriate

• Pragmatic and analytical problem-solving skills - consistently apply sound judgment

• Successfully meet established deadline requirements - display efficient time management skills

• Possess the ability to research and resolve issues independently

• Ability to work effectively with colleagues across regions and Business Units

• Have the ability to effectively handle a fast-paced environment

• Ability to identify and recommend process efficiencies

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 - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background.  Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.