GFC -Sanctions Securities Controls Officer: Job Level - Vice President
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Overview
Morgan Stanley is seeking an experienced Sanctions Controls professional to join the GFC Monitoring and Screening Controls team to drive and transform the Firm's economic sanctions controls, specifically around Sanctioned Securities. The candidate will be responsible for all sanctioned securities controls and will plan and oversee the end-to-end execution of complex projects (technical and non-technical) to transform these programs.
Position Description
The successful candidate will collaborate with GFC's Advisory, Sanctions Compliance and Sanctions Counsel teams, and work closely with the Firm's Business Units, Operations, and Technology teams while leveraging their technical expertise and knowledge of trading and middle-office systems to develop and enhance automated control frameworks.
Primary Responsibilities
* Assist with establishing and overseeing the Firm's end-to-end sanctioned securities controls, ensuring compliance with applicable sanctions programs (e.g., OFAC, EU, UK, UN, etc.).
* Design and develop platforms to automate and streamline processes related to position exposure searching, blocked property management and regulatory reporting (e.g., ORI reporting).
* Support the business-as-usual sanctions evasion controls, including process improvements, technology upgrades, and regulatory imperatives.
* Collaborate with team members and external stakeholders to communicate project status to senior management and to identify and resolve project challenges, and escalate risks and issues as needed.
* Assist with responding to regulatory exams, inquiries and internal audits, including overseeing document production.
* Work with GFC subject matter experts to determine the impact of regulatory changes and to ensure the GFC Program remains aligned with regulatory requirements.
* Participate in the development and implementation of policies, procedures and training programs related to financial crime risk management.
* Facilitate and attend key governance forums (working groups, steering committees, etc.), partnering with senior stakeholders to develop materials, streamline processes and addressing challenges to drive decision making.
* Develop and maintain the Global Sanctioned Securities Policy, including providing guidance on adherence to that policy.
* Maintain ancillary policies and procedures relating to Sanctioned Securities control maintenance.
* Support the ongoing creation of key performance and key risk metrics.
* Coordinate with GFC Model Risk Control team and LCD's Quantitative Data Analytics team to develop new controls to address regulatory inquiries, support remediation, and manage the periodic review and optimization of controls.
Qualifications / Skills
* 7+ years relevant work experience, preferably at a large/complex financial institution with a focus on sanctions controls, financial crimes controls, trading operations and/or risk management.
* Strong understanding of financial markets, including Operations/Middle-office trade processing functions.
* Knowledge of global sanctions programs administered and enforced across Americas and EMEA (e.g., OFAC, OFSI, UNSC), and the relevant control environments to mitigate sanctions evasion risk.
* Familiarity with sanctions securities controls environment.
* Proven ability to take ideas forward and to challenge others with integrity and maturity.
* Strong organizational skills and an ability to manage multiple demands and changing priorities.
* Excellent written and verbal communication skills, with the ability to present complex information in a clear and concise manner, including experience collating information in response to regulatory and other related inquiries.
* Experience scoping, developing and prioritizing plans for strategic pieces of work.
* Ability to identify, monitor and manage project risks, issues and dependencies and agree appropriate risk responses.
* Technology savvy with ability to quickly learn new systems and tools, and to identify and implement enhancements.
* Familiar with Agile methodology and relevant productivity software such as Jive, Jira, and Tableau.
* Ability to perform analysis, identify problems, and design solutions in a collaborative manner within a fast-paced environment.
* Outstanding judgement, analytical skills, and critical thinking, including ability to analyze data to draw conclusions/themes and think strategically about presentation of materials.
* Ability to work in a proactive and self-directed way with minimal direction and task management.
* Strong interpersonal and teamwork skills.
* Excellent MS Office skills, including Excel, PowerPoint, and Teams.
Where You'll be Working
This role will require in-office attendance 3 days/week. Two of those days will be Anchor Days where you will be in the office with your teammates to learn, grow, and collaborate in person.
Equal Opportunities Statement
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.
What You Can Expect From Morgan Stanley
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for many 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. Our offices span multiple countries, with a large and diverse workforce. Morgan Stanley offers attractive and comprehensive employee benefits and perks. There is also ample opportunity to move within the business for those who show passion and grit in their work.
Regulatory / Certifications
Certified Persons Regulatory Requirements: If this role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.
Flexible Work
Morgan Stanley supports flexible working arrangements. Speak to our recruitment team to learn more.
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