Global Financial Crimes: Anti-Corruption, Political Activities and Anti-Tax Evasion Compliance Professional.
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career – a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Global Financial Crimes (GFC) coordinates day-to-day implementation of the Firm’s enterprise-wide financial crime prevention efforts. GFC includes several legal and compliance disciplines and has responsibility for governance, oversight and execution of the Firm’s Anti-Money Laundering, Sanctions, Anti-Corruption, Government and Political Activities, and Anti-Tax Evasion 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. GFC has dedicated coverage managers and teams of analysts who advise and counsel each business unit regarding its anti-money laundering, sanctions, anti-corruption and anti-tax evasion obligations and its particular clients and transactions.
Background on the Team
The Anti-Corruption, Political Activities and Anti-Tax Evasion Compliance Professional will support three groups within GFC:
The Anti-Corruption Group (ACG) administers the Firm’s global anti-corruption program, which includes policies, procedures, and internal controls reasonably designed to comply with applicable anti-corruption laws, including the U.S. Foreign Corrupt Practices Act and the U.K. Bribery Act, and regulations in the jurisdictions in which it operates.
The Government and Political Activities Compliance Group (GPAC) focuses on compliance with U.S. federal, state and municipal regulations governing interactions with U.S. government officials, including political contribution/pay-to-play regulations, lobbying laws, and gifts & entertainment/ethics rules across all of Morgan Stanley’s various Business Units.
The Anti-Tax Evasion Group (ATE) administers the Firm’s anti-tax evasion program, which is designed to prevent the Firm and anyone acting on its behalf from engaging in activities that knowingly facilitate criminal tax evasion.
The Anti-Corruption, Political Activities and Anti-Tax Evasion Compliance Professional will assist in the design, implementation, and maintenance of the Firm’s anti-corruption, political activities and anti-tax evasion compliance processes, procedures, and strategy.
Specific job responsibilities include:
Review employee requests to pre-clear gifts, entertainment, charitable contributions and sponsorship's involving government officials and Firm clients, and perform related monitoring
Manage and execute processes involving regulatory filings relating to political contributions, gifts/entertainment and lobbying activity
Perform first-level review of escalations from processes designed to identify high risk third party engagements requiring heightened controls
Execute processes designed to identify government-related clients and activities, and track employees involved in government-related business activities Provide administrative support for systems and controls designed to mitigate corruption and tax evasion risk in third party engagements
Support the execution of the annual anti-corruption and anti-tax evasion risk assessment
Coordinate production of metrics and other management information
Provide analytical and organizational support in the development and implementation of ACG/GPAC/ATE initiatives
Identify legal, regulatory and/or reputational risks and escalate potential issues as appropriate
Skills Required (essential)
Have a 4 year college degree with strong academic credentials
Have one to three years of relevant experience, preferably at a large/complex financial institution, law firm, or government/regulatory body
Have outstanding organizational/project management skills and attention to detail
Be proficient in Microsoft Outlook, Word, Excel, PowerPoint, SharePoint, and Adobe
Be poised and comfortable with direct interaction with business clients and senior management within Legal and Compliance
Be technology savvy and willing to learn new systems and tools
The ability to succeed in a fast-paced environment
Experience managing projects
Advanced knowledge of/experience with Excel, PowerPoint, and Access
Knowledge of anti-corruption, political activities or anti-tax evasion laws/regulations, including state and municipal lobbying laws
About Morgan Stanley
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