Investment Management - Financial Crimes – Investment Due Diligence Vice President

Morgan Stanley is a global financial services firm that conducts its business through three principal business segments - Institutional Securities, Wealth Management, and Investment 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.

Department Profile: The Investment Management (IM) 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 IM Financial Crimes Risk Team is considered the first line of defense and supports the onboarding, enhanced due diligence, and negative news processes for Morgan Stanley.

Primary Responsibilities: The Investment Due Diligence VP is responsible for executing the firm’s first line Financial Crimes program for IM. The role will be responsible for BSA/AML due diligence on investments of IM Funds. This position will work closely with Global Financial Crimes (GFC) stakeholders to ensure the business is compliant with all relevant Financial Crimes standards, policies, procedures and applicable laws and regulations.

• In collaboration with GFC, lead the evaluation of investment opportunities and counterparties to ensure compliance BSA/AML rules/regulations and IM Risk Appetite.
• Conduct in-depth diligence on portfolio companies and investment structures to identify and mitigate AML risks.
• Develop and implement robust frameworks for identifying, assessing, and managing BSA/AML risks associated with new and existing investments.
• Evaluate investment entities’ policies, controls, an adherence to sanctions, KYC, and anti-corruption requirements.
• Work with investment teams to integrate AML risk considerations into the investment decision-making process.
• Provide actionable recommendations to mitigate identified risks while supporting strategic objectives of the IM business.
• Develop and maintain policies, procedures, and governance structures as well as drive continuous improvements in oversight practices.
• Oversee the ongoing monitoring of investment-related AML risks, ensuring timely escalation and resolution of identified issues.
• Develop and maintain dashboards and reporting tools for investment-related AML monitoring.

Required Experience and Skills:

• Extensive relevant experience with BSA/AML Regulations within the financial services industry, or at a financial services regulator (e.g., FINRA, Securities and Exchange Commission, Office of the Comptroller of the Currency, Federal Reserve Bank, etc.)
• Have an undergraduate degree in Business, Finance, Legal, or other related fields.
• Strong understanding of Investment Management processes as well as Investment due diligence practices for Public and Private Funds.
• Strong leadership qualities with the ability to manage teams and evidence a strong work ethic as well as a high degree of integrity.
• Implementation and execution of Financial Crimes Programs requirements.
• Knowledge of Financial Crimes laws and regulations and familiarity with best practice first line procedures and processes.
• Operate with confidence and comfort in high-paced and high-profile environments.
• Analyze, summarize, and communicate effectively.
• Distill complex ideas and concepts into actionable items.
• Identify issues, investigate root causes, and propose comprehensive solutions.
• Handle highly confidential information professionally and with appropriate discretion.
• Certified as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license is a plus.
• Knowledge of Financial Crimes regulatory requirements and expectations.
• Working knowledge of MS Office (Microsoft Excel/PowerPoint/Word/Access).
• Strong time management and planning skills.
• Strong interpersonal skills and ability to communicate effectively both verbally and in writing.
• Experience in supporting audit and regulatory inquiries and interactions.

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what’s best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries.

At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.