Global Financial Crimes: Anti-Corruption / Government and Political Activities Professional

Morgan Stanley USA
Parkville, MD
Jan 14, 2019
Jan 15, 2019
Full Time
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 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. Department Profile 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 (AML), Sanctions, Anti-Corruption 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 and anti-corruption obligations and its particular clients and transactions. Background on the Anti-Corruption Compliance Group The Anti-Corruption Compliance 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 US Foreign Corrupt Practices Act and the UK Bribery Act, and regulations in the jurisdictions in which the Firm operates. Background on the Government and Political Activities Compliance Group The Government and Political Activities Compliance Group (GPAC) focuses on compliance with US federal, state, and municipal regulations governing interactions with US government officials, including political contribution/pay-to-play regulations, lobbying laws, and gifts and entertainment/ethics rules across all of Morgan Stanley's various Business Units. GPAC designs, executes, and monitors policies, procedures, and controls governing employees' political activities and interactions with US government officials. Primary Responsibilities The ACG/GPAC Analyst will: - Support, coordinate, and provide first-level review of employee requests to pre-clear gifts, entertainment, charitable contributions, and sponsorships involving government officials and Firm clients, including: o Performing initial analysis of proposed expenditures under applicable US and non-U.S. laws, including US state, federal, and municipal laws and regulations; o Collecting and analyzing information regarding the nature of the proposed gift or event; o Preparing and maintaining documentation relating to expenditures, including external correspondence; o Reviewing and tracking information for large-scale conferences and liaising with the Firm's Event Planners; o Reviewing and tracking expenditures made by the firm's lobbyists; and o Reviewing prior instances of gifts and entertainment provided to proposed recipients - Perform gift and entertainment-related monitoring activities, including: o Identifying, escalating, and documenting policy violations; o Performing country-specific monitoring for expenditures relating to government officials from certain jurisdictions; and o Reviewing and validating expense reimbursement aggregations o Identify legal, regulatory, and/or reputational risks associated with gift and entertainment pre-clearance and escalate to ACG/GPAC team as appropriate o Support processes designed to identify government-related clients and activities o Coordinate with technology partners to maintain relevant systems and controls o Provide analytical and organizational support in the development and implementation of ACG/GPAC initiatives - Perform additional ACG/GPAC compliance activities, including: o Provide first level review of escalations from third party screening controls; o Review employee requests to pre-clear political contributions and monitor employee compliance with the firm's policies regarding political activities; o Support ACG/GPAC core compliance processes, including compiling periodic and ad hoc metrics o Organize and maintain ACG/GPAC document repositories Qualifications: Skills required (essential) Candidates must have: - Four-year college degree with strong academic credentials - One to three years of relevant experience, preferably at a financial institution, corporation, law firm, or government/regulatory body - Outstanding organizational/project management skills and attention to detail - Proficiency in Microsoft Outlook, Word, Excel, PowerPoint, SharePoint, and Adobe - Comfort with direct interaction with business clients and senior management - Technological savvy and willingness to learn new systems and tools - Ability to succeed in a fast-paced environment Skills desired - Experience managing projects - Advanced knowledge of/experience with Excel, PowerPoint, and Access - Knowledge of anti-corruption and/or political activities laws/regulations Global Financial Crimes: Anti-Corruption / Government and Political Activities Professional