Jobs
>
Tampa

    Financial Crimes Exam Management, AVP - Tampa, FL, United States - Morgan Stanley

    Show more Collapse job
    Default job background
    Full time
    Description
    Morgan Stanley is a global financial services firm that conducts its business through three principal business segments-Institutional Securities, Wealth Management (WM), and Asset Management. Morgan Stanley provides comprehensive financial advice and services to its clients including brokerage, investment advisory, financial and wealth planning, credit and lending, deposits and cash management, annuities, insurance, retirement, and trust services.

    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 doing the right thing, putting clients first, leading with exceptional ideas and a commitment to diversity and inclusion. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, achieve, and grow.

    Department Profile:

    The WM and U.S. Banks Financial Crimes Risk Team is embedded within the Firm's business line. It is responsible for identifying, assessing, and escalating potential money laundering and reputational risk issues associated with higher risk client types. The WM and U.S. Banks Financial Crimes Risk Team is considered the first line of defense and supports the onboarding and existing customers, enhanced due diligence, and negative news processes for Morgan Stanley.

    Primary Responsibilities:

    The Financial Crimes Exam management AVP will be responsible for managing the firm's internal exams processes.

    The Financial Crimes Exam management AVP will:
    • Lead production of accurate and timely responses for testing and identified exams
    • Draft, review and edit various forms of internal/external exam documentation, including reports, memos, presentations to ensure clarity, accuracy, and consistency in messaging
    • Coordinate with cross-functional stakeholders to identify/agree on exam scope, process, dependencies, milestones, and major deliverables
    • Assist with the design and development of comprehensive plans as required (e.g. regulatory, strategic, transformation initiatives or policy implementations)
    • Develop concise and effective presentations for senior leadership
    • Support ad-hoc projects and initiatives from a communications perspective
    • Define and execute against financial crimes training strategy initiatives for Wealth Management's first line
    • Maintain a robust exam management framework and maintain documentation related to the testing and exam process, subsequent changes
    • Monitor forecasting outputs, identify thematic concerns, and escalate as appropriate
    • Develop and present related management reporting
    • Oversee and coordinate related control execution and framework
    • Liaise with other functions to broader changes/initiatives
    • Collaborate with internal stakeholders including Business Leaders, Second Line, Technology, and Internal Audit
    Required Experience:
    • Minimum 5 years of experience in financial crimes/AML
    • Have a bachelor's degree in Business, Finance, or another related field
    • Experience supporting compliance projects and internal/external exams
    Ability to:
    • Take initiative, analyze, summarize, and communicate effectively
    • Multitask effectively and appropriately prioritize assignments
    • Work both independently and in a team environment
    • Distill complex ideas and concepts into actionable items
    • Work in a matrixed organization; leveraging resources across the organization to complete deliverables
    • Develop internal relationships, influence stakeholders, and build consensus
    • Handle highly confidential information professionally and with appropriate discretion
    • Take initiative, analyze, summarize, and communicate effectively
    • Thrive in fast-paced environment, managing multiple responsibilities and adapting to changing priorities
    • Distill complex ideas and concepts into actionable items
    • Work in a matrixed organization; leveraging resources across the organization to complete deliverables
    • Conduct meaningful root cause and trend analysis
    • Handle highly confidential information professionally and with appropriate discretion
    Additional Skills Desired:
    • Certified Anti-Money Laundering Specialist (CAMS) designation is a plus
    • Proficient knowledge of MS Office (Microsoft Excel/PowerPoint/Word/Access)
    • Experience supporting audit and regulatory inquiries and interactions with Board, senior management, and consultants
    • General knowledge of AML regulatory requirements and expectations (domestic and international)
    • Strong time management and planning skills
    • Strong interpersonal skills and ability to communicate effectively both verbally and in writing
    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).

    Expected base pay rates for the role will be between $80,000 and $135,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

    We have other current jobs related to this field that you can find below


  • MUFG - Mitsubishi UFJ Financial Group, Inc. Tampa, United States

    Include engaging with regulators and/or leaders from other functions, including audit and compliance, and collaborating with Operations & Technology colleagues to prepare or review content prior to submission and manage follow-up actions. Role also i Information Technology, Manag ...


  • Citigroup Inc Tampa, United States

    The FR Y-14 Finance Reporting Manager is responsible for the preparation, analysis, reconciliation, and review of FR Y-14 (CCAR) reports. The FR Y-14 Reporting Wholesale Analyst will work closely with the Report Owners, Schedule Owners, Risk, Country/Product Controllers, Technolo ...

  • MUFG

    Data Governance

    1 day ago


    MUFG Tampa, United States Full time

    Do you want your voice heard and your actions to count? · Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 120,000 colleagues, striving to make a difference for every client, organization ...


  • Morgan Stanley Tampa, United States

    Workforce Forecasting/Management - Assistant Vice President Job Number: · Posting Date · :Apr 30, 2024 Primary Location · :Americas-United States of America-Florida-Tampa Other Locations · :Americas-United States of America-New York-New York, Americas-United States of ...


  • TSR Consulting Services, Inc. Tampa, United States

    Our client, a leading financial services company is hiring an Operational Risk Senior Analyst on a long-term contract basis. · Job ID 79573 · Work Location: · Tampa, FL - Hybrid · Summary: · The role's purpose is to develop and maintain a comprehensive process to proactively id ...


  • 10976 Citi Fund Services Ohio, Inc. Tampa, United States Full time

    Overview: · The ETF Fund Accounting Manager - AVP is an intermediate management level position responsible for providing full leadership and direction to a team of employees, leading a variety of fund valuation activities in coordination with the Operations - Transaction Servic ...


  • Moffitt Cancer Center Tampa, United States

    At Moffitt Cancer Center, we strive to be the leader in understanding the complexity of cancer and applying these insights to contribute to the prevention and cure of cancer. Our diverse team of over 9,000 are dedicated to serving our patients and creating a workspace where every ...


  • Pinnacle Group, Inc. Tampa, United States

    Role: Risk Operation Analyst · Location: Tampa, FL · Duration: Contract · Must-have skills:of the team. · The selected candidate will be responsible for the following activities: · Produce and maintain written documentation and scripted demos for new product features. · Provide s ...


  • Wipro Tampa, United States

    Role: AVP of Premium Accounting and Finance · Location: Tampa, FL · Position Overview · The Associate Vice President of Premium Accounting and Finance will play a pivotal role in overseeing and optimizing premium billing, payment, accounting, and finance functions across health i ...


  • KETTLER Tampa, United States Regular Full time

    Overview · Under the direction of the Vice President of Operations and Sr. Vice President of Operations, the Senior Regional Manager is responsible for all operations of his or her apartment portfolio, with an emphasis on optimizing revenue and NOI, preserving assets for individ ...


  • MUFG Bank, Ltd. Tampa, United States

    Do you want your voice heard and your actions to count? · Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 120,000 colleagues, striving to make a difference for every client, organization ...


  • Moffitt Cancer Center Tampa, United States

    At Moffitt Cancer Center, we strive to be the leader in understanding the complexity of cancer and applying these insights to contribute to the prevention and cure of cancer. Our diverse team of over 9,000 are dedicated to serving our patients and creating a workspace where every ...


  • Moffitt Cancer Center Tampa, United States

    At Moffitt Cancer Center, we strive to be the leader in understanding the complexity of cancer and applying these insights to contribute to the prevention and cure of cancer. Our diverse team of over 9,000 are dedicated to serving our patients and creating a workspace where every ...


  • Moffitt Cancer Center Tampa, United States

    At Moffitt Cancer Center, we strive to be the leader in understanding the complexity of cancer and applying these insights to contribute to the prevention and cure of cancer. Our diverse team of over 9,000 are dedicated to serving our patients and creating a workspace where every ...


  • MUFG Americas Tampa, United States

    Standby Letter of Credit, AVP page is loaded · Standby Letter of Credit, AVP · Apply · locations · Tampa, FL · time type · Full time · posted on · Posted 2 Days Ago · job requisition id · WD · Do you want your voice heard and your actions to count? · Discover your oppo ...


  • Interface Tampa, United States

    Interface, Inc. is a global flooring company specializing in carbon neutral carpet tile and resilient flooring, including luxury vinyl tile (LVT) and nora rubber flooring. We help our customers create high-performance interior spaces that support well-being, productivity, and cre ...

  • MUFG Bank, Ltd.

    Data Governance

    1 week ago


    MUFG Bank, Ltd. Tampa, United States

    Do you want your voice heard and your actions to count? · Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 120,000 colleagues, striving to make a difference for every client, organization ...


  • Morgan Stanley Tampa, United States

    Morgan Stanley ("MS") is a global financial services firm that conducts its business through three principal business segments-Institutional Securities, Wealth Management (WM), and Asset Management. Morgan Stanley provides comprehensive financial advice and services to its client ...

  • AllianceBernstein

    AVP/Strategist, UHNW

    2 weeks ago


    AllianceBernstein Tampa, United States

    Who You'll Work With: · Within Bernstein's Center for Legacy Planning is a dedicated group of professionals with experience and training to help families explore the transfer of wealth-related values and knowledge. Through directed exercises, the team helps uncover what matters ...


  • MUFG Americas Tampa, United States

    Agency Loan Operations , Assistant Vice President page is loaded · Agency Loan Operations , Assistant Vice President · Apply · locations · Tampa, FL · time type · Full time · posted on · Posted 6 Days Ago · job requisition id · WD · Do you want your voice heard and you ...