Global Financial Crimes: IM Advisory Director (AVP)

Join to apply for the Global Financial Crimes: IM Advisory Director (AVP) role at Morgan StanleyWe are seeking a Global Financial Crimes Investment Management Advisory Director.Global Financial Crimes (GFC) coordinates day-to-day implementation of the Firm's enterprise-wide financial crime prevention efforts. GFC has responsibility for governance, oversight and execution of the Firm's Anti-Money Laundering (AML), Economic Sanctions, Anti-Tax Evasion, 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.The Investment Management (IM) Financial Crime Advisory group focuses on the financial crimes obligations associated with the Firm's IM businesses, including Registered Mutual Funds, Investment Advisory Mandates, Private Equity, Private Credit, Real Estate and Fund of Fund Investing.What You'll Do In The RoleThe IM Financial Crimes Advisory Professional will be based in New York and will ultimately report to the Global Head of Service Provider Oversight. The IM Financial Crimes Advisory Professional will be tasked with responsibility for the day-to-day execution of the overall IM financial crimes program including overseeing the third-party service providers, with a focus on AML, for the IM businesses at Morgan Stanley, including Eaton Vance.Specific Job Responsibilities IncludeServe as point of escalation and provide support in connection with Know Your Customer (KYC) onboarding, enhanced due diligence and transactional due diligence mattersConduct due diligence on new and pre-existing service providers that are contracted for financial crimes processesAssess monthly and quarterly management reporting for failures in the escalation process from the service providersConduct site visits to the service providers as part of oversight functions and testsDevelop quarterly and annual board reporting for the Public and Private Side fund boards.Assist in the review and approval of New Product Approvals across IMReview sanctions escalations from internal and external partiesIdentify and evaluate financial crimes risks related to clients, counterparties, and/or transactionsDevelop and communicate a GFC risk view with respect to clients, counterparties, and/or transactionsAddress inquiries from BUs, Risk, Legal, Compliance, and other first- and second-line functions on customer onboardingRepresent IM Financial Crimes Advisory on various business, compliance, and risk governance and other committeesDraft/revise and execute on policies and proceduresProviding financial crimes subject matter expertise on changes in regulatory requirements and serving as an effective advisor to the BUs, Legal, Risk and Operations on financial crimes mattersDeliver training to the BUs, Risk, Legal, Compliance and other first-line and other support functionsServe as point of escalation and provide support in connection with regulatory interpretation and application of facts in connection with policiesLiaise and coordinate within GFC and with key stakeholders across the Firm, including Legal, Compliance, Regulatory Relations, and Risk, to ensure appropriate execution of the Firm's enterprise-wide financial crimes prevention programWhat You'll Bring To The RoleBachelor's degree required5+ years of relevant experience, preferably at an asset manager, large/complex financial institution, law firm, or government/regulatory bodyDetailed understanding of the laws, rules, and regulations pertaining to AML as well as sanctions and anti-corruptionSolid knowledge of Asset Management, including Registered Mutual Funds, Investment Advisory Mandates, Private Equity, Private Credit, Real Estate and Fund of Fund InvestingHighly-motivated self-starter able to work independently while collaborating and coordinating as part of a global programStrong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environmentExceptional written and verbal communications skills, attention to detail, and effective time managementSound judgment and an ability to manage and appropriately escalate issues internallyOutstanding interpersonal skills and team-player attitudeCAMS certified - be certified as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license - or obtain certification within 15 months of hireWhat You Can Expect From Morgan StanleyWe are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — 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 into your browser.Expected base pay rates for the role will be between 90,000 and 155,000 per year at the commencement of employment. Base pay, if hired, will be determined on an individualized basis and is only part of the total compensation package, which may include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).Seniority levelExecutiveEmployment typeFull-timeJob functionConsulting, Information Technology, and SalesReferrals increase your chances of interviewing at Morgan Stanley by 2xGet notified about new Director of Advisory jobs in New York, NY. #J-18808-Ljbffr

Created: 2025-09-17