Internal Audit Global Financial Crimes AVP London, England
Morgan Stanley
Full Time
London, England
38669 - 100383 GBP ANNUAL Today
Job description
Internal Audit Global Financial Crimes AVP
Job Number:
3231745
POSTING DATE: Feb 15, 2023
PRIMARY LOCATION: Europe, Middle East, Africa-United Kingdom-United Kingdom-London
EDUCATION LEVEL: Bachelor's Degree
JOB: Audit
EMPLOYMENT TYPE: Full Time
JOB LEVEL: Senior Associate
DESCRIPTION
Role Profile
Morgan Stanley is seeking a seasoned financial services professional, with strong internal audit or extensive second line experience in Financial Crime as it relates to investment banking. The role is at Director level, and reports to the EMEA Audit Coverage Manager for Compliance, Legal and Company and the Head of International Compliance, Legal & EMEA Company within Internal Audit.
This role will lead the execution and management of EMEA internal assurance efforts, focusing on the EMEA Legal, Financial Crimes and Compliance functions. Furthermore, the role will support global assurance activities with US and APAC colleagues over the financial crime prevention activities and anti-money laundering framework operated by Morgan Stanley.
Global Financial Crimes is responsible for the development and governance of the Firm's financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti-Money Laundering (AML), Economic Sanctions, Antiboycott, Anti-Corruption (ACG), Anti-Tax Evasion (ATE), and Government and Political Activities Compliance (GPAC) programs.
EMEA Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firm's compliance with core regulatory requirements covering all businesses including Institutional Sales and Trading (Fixed Income, Commodities and Equities), Investment Banking, Research, and Investment Management Business across the EMEA region.
Primary Responsibilities
> The audit professional will be involved in the development, planning and execution of assurance work (audits, continuous monitoring, closure verification) across the EMEA region focusing on Financial Crimes, as well as broker-dealer and swap dealer compliance focussing on UK PRA, UK FCA and non-UK EU regulations
> Development of EMEA Audit Risk Assessment with EMEA Legal and Compliance senior management to build the EMEA audit plan;
> Partner with global peers on global Legal and Compliance Reviews as well as provide Compliance and Regulatory Subject Matter Expertise to Business Audit colleagues and peers;
> Execution of the audit plan within departmental methodology, policies and standards;
> On-going communication with senior management and external stakeholders to discuss status of the control environment impacting Morgan Stanley.
> Support the preparation of risk messaging to internal stakeholders and ultimately the Board Audit Committee;
> Ongoing communication with regulators
Morgan Stanley is seeking a seasoned financial services professional, with strong internal audit or extensive second line experience in Financial Crime as it relates to investment banking. The role is at Director level, and reports to the EMEA Audit Coverage Manager for Compliance, Legal and Company and the Head of International Compliance, Legal & EMEA Company within Internal Audit.
This role will lead the execution and management of EMEA internal assurance efforts, focusing on the EMEA Legal, Financial Crimes and Compliance functions. Furthermore, the role will support global assurance activities with US and APAC colleagues over the financial crime prevention activities and anti-money laundering framework operated by Morgan Stanley.
Global Financial Crimes is responsible for the development and governance of the Firm's financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti-Money Laundering (AML), Economic Sanctions, Antiboycott, Anti-Corruption (ACG), Anti-Tax Evasion (ATE), and Government and Political Activities Compliance (GPAC) programs.
EMEA Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firm's compliance with core regulatory requirements covering all businesses including Institutional Sales and Trading (Fixed Income, Commodities and Equities), Investment Banking, Research, and Investment Management Business across the EMEA region.
Primary Responsibilities
> The audit professional will be involved in the development, planning and execution of assurance work (audits, continuous monitoring, closure verification) across the EMEA region focusing on Financial Crimes, as well as broker-dealer and swap dealer compliance focussing on UK PRA, UK FCA and non-UK EU regulations
> Development of EMEA Audit Risk Assessment with EMEA Legal and Compliance senior management to build the EMEA audit plan;
> Partner with global peers on global Legal and Compliance Reviews as well as provide Compliance and Regulatory Subject Matter Expertise to Business Audit colleagues and peers;
> Execution of the audit plan within departmental methodology, policies and standards;
> On-going communication with senior management and external stakeholders to discuss status of the control environment impacting Morgan Stanley.
> Support the preparation of risk messaging to internal stakeholders and ultimately the Board Audit Committee;
> Ongoing communication with regulators
QUALIFICATIONS
Skills Required
> Extensive audit or compliance experience with a financial services firm with a focus on financial crime
> Strong technical understanding of the financial services regulatory environment and subject matter expertise in one or more of the following areas:
o Anti-Money Laundering (AML);
o Economic Sanctions;
o Antiboycott, Anti-Corruption (ACG);
o Anti-Tax Evasion (ATE); and
o Government and Political Activities Compliance (GPAC) programs.
> Strong stakeholder management and presentation experience with senior management and regulators
> Experience with a Regulatory Organization a plus
> Excellent communication and interpersonal skills
> Deep understanding of the internal audit process
> An undergraduate degree in business including Finance, Accounting, Economics, or equivalent
> Extensive audit or compliance experience with a financial services firm with a focus on financial crime
> Strong technical understanding of the financial services regulatory environment and subject matter expertise in one or more of the following areas:
o Anti-Money Laundering (AML);
o Economic Sanctions;
o Antiboycott, Anti-Corruption (ACG);
o Anti-Tax Evasion (ATE); and
o Government and Political Activities Compliance (GPAC) programs.
> Strong stakeholder management and presentation experience with senior management and regulators
> Experience with a Regulatory Organization a plus
> Excellent communication and interpersonal skills
> Deep understanding of the internal audit process
> An undergraduate degree in business including Finance, Accounting, Economics, or equivalent
