Asia Pacific Anti-Money Laundering (AML), ISG Coverage, Vice President
Morgan Stanley's Anti-Money Laundering (AML) Group, an integral part of the global Legal and Compliance Division, is charged with day-to-day oversight and coordination of the AML and Sanctions Program covering all of the Firm's various businesses globally, including Institutional Securities Group (e.g. Fixed Income and Commodities, Global Capital Markets, Institutional Equities, Investment Banking, Wealth Management and Research) and Investment Management.
Headquartered in Hong Kong (HK), the Asia (including Japan) Anti-Money Laundering (AML) Group includes dedicated personnel in Singapore and Tokyo as well.
Morgan Stanley is currently seeking a driven and seasoned professional to assist the Regional Head of Asia AML Group in coverage of the AML program for Institutional Securities Group (ISG) businesses across Asia Pacific (excluding Japan) with the following areas of focus:
- AML Policy Procedure
- Advisory
- High Risk Client Reviews
- PEP Reviews
- Client Screening (RDC)
- Payment Screening
- Suspicious Transaction Surveillance Reporting
- OFAC/Sanctions Issues
- Client reviews/enquiries
- Reports Statistics (Local Global)
- Training
- Sensitive Client Reviews
- Thematic Reviews (e.g. China clients etc.)
- Review Documentation of AML Group Procedures
Based in HK and reporting to the Regional Head of Asia AML Group, this role will be primarily responsible for:
- Advise on, and resolve, potential AML issues arising across business units and jurisdictions covered by the Asia Pacific AML Group; significant interaction across all business units, and advising on AML compliance
- Supervise know-your customer and client due diligence processes
- Monitor regulatory developments and new rules or requirements across the Asia Pacific countries
- Oversee and supervise the filing of Suspicious Transaction Reports (STR)
- Manage projects and client reviews, e.g. review and analysis of the client base to identify and manage high risk clients, or specific country reviews
- Draft and implement appropriate AML policies and procedures
- Design and deliver AML training program in Asia Pacific countries
- Review and approve payment exceptions generated through the monitoring of client payments
- Manage day-to-day account opening issues, including approvals of high risk clients, waivers etc
- Investigate and escalate transaction monitoring alerts and queries
- Supervise transaction monitoring and AML surveillance*LI-JG1
- Bachelor's degree
- At least 8 years of relevant experience in AML Compliance, Due Diligence or Regulatory experience preferably in a securities environment
- Experience in the securities or broker-dealer business
- Solid knowledge of securities as well as sales and trading products
- An analytical mind with attention to detail and small team management experience
- Strong oral and written communication skills in English
- Fluency in Asian languages (such as Cantonese, Mandarin) advantageous
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