Global Financial Crimes - Private Wealth Management Advisory, Associate/ Manager (Hong Kong)
Morgan Stanley
Hong Kong, Hong Kong

Company Profile

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 42 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, achieve and grow.

A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Division Profile

Professionals within the Legal and Compliance Division provide a wide range of services to our internal and external stakeholders.

They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute.

They preserve the Firm's invaluable reputation for integrity and protect the Firm from sanctions with a Legal and Compliance framework that meets regulatory requirements.

They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm's businesses.

Department Profile

Morgan Stanley Global Financial Crimes ("GFC") coordinates day-to-day implementation of the Firm's enterprise-wide Anti-Money Laundering Program and the required regulatory reporting.

GFC includes several Legal and Compliance disciplines and has responsibility for governance, oversight and execution of the Firm's Anti-Money Laundering (AML), Sanctions, Anti-Corruption, Anti-Tax Evasion, 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.

GFC has dedicated coverage managers and teams of analysts who advise and counsel each business unit regarding its AML, economic sanctions, anti-corruption, anti-tax evasion, and political activity obligations and its particular clients and transactions.

Primary Responsibilities

As part of Morgan Stanley's ongoing commitment to prevent and detect money laundering and terrorist financing, the Firm has adopted a comprehensive, risk-based program to ensure compliance with counter-

terrorism and AML laws, rules, regulations, and government guidance. The successful candidate will cover our Private Wealth Management (PWM) business with the following primary responsibilities :

  • Review the high-risk and complex PWM client profiles during on-boarding, periodic review and trigger events to ensure compliance with AML / CFT laws, rules, regulations and Firm policies
  • Provide general AML advice and guidance to Asia PWM business units and relevant stakeholders in daily operations
  • Work closely with Front office and other teams including Operations, Risk, Legal and Compliance
  • Assist to drive changes in policies and procedures for Asia PWM
  • Support ad-hoc AML-related projects as assigned
  • Support regulatory inspections and internal audits and take responsibility for remedial actions
  • Produce regular management information to senior management, as well as other local and global stakeholders
  • Prepare training materials and deliver AML training to internal stakeholders
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