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Global Financial Crimes - Investigations/ Financial Intelligence Unit, Director/ Vice President (Hong Kong)

Morgan Stanley

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Global Financial Crimes - Investigations/ Financial Intelligence Unit, Director/ Vice President (Hong Kong)

Senior (6-10 years)


Technical Skills

  • Anti Money Laundering (AML)
  • Due Diligence
  • Regulatory Reporting
  • Risk Management

Job Description

Global Financial Crimes - Investigations/ Financial Intelligence Unit, Director/ Vice President (Hong Kong)

Location: Non-Japan Asia-Hong Kong-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 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, 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 required regulatory reporting. GFC provides advice and counsel to the business units and employees worldwide regarding their AML, economic sanctions and Anti-boycott compliance obligations. 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 obligations and its particular clients and transactions.

Team Profile
The Financial Intelligence Unit (FIU) and Investigations team performs the following functions to strengthen enterprise-wide AML risk management and safeguard the Firm from financial crime risk:
- Develop proactive intelligence relating to financial crimes, including: money laundering, terrorist financing, global sanctions, corruption, external fraud, cyber threats and high-risk customers
- Conduct analyses of relevant data to identify trends/patterns/emerging threats, as well as other information that may be useful to the Firm
- Lead global coordination related to: high risk clients, politically exposed persons, STR processes
- Drive case investigations that supplement the efforts of other GFC groups
- Receive, request, analyze and disseminate information relating to suspicious activities in order to improve GFC’s monitoring processes and case results
- Liaise with law enforcement and participate in law enforcement and industry led working groups

Primary Responsibilities
The FIU and Investigations professional will:
- Oversee and conduct AML/complex investigations across multiple business units in the region
- Manage the STR filing process, make direct disclosures to relevant local authorities and in support of the in-country MLROs
- Maintain post STR filing, enhanced monitoring controls and client exit processes
- Develop financial crime intelligence proactively to identify and address financial crime threats that have an impact to the Firm at a regional or global level
- Lead and carry out intelligence and typology driven investigations and customer reviews
- Handle production orders and information requests from local law enforcement agencies/regulators, and perform investigations where necessary
- Deliver analysis and reports that articulates to senior stakeholders in the Firm, including various senior governance and risk committees
- Produce regular MI and various metric reports for financial crime governance purposes
- Lead team development and the application of understanding around financial crime threats, patterns and typologies
- Collaborate with cross regional FIU teams, GFC coverage teams and business units to address significant financial crime risks and threats
- Analyze large data sets to discover transactional patterns, examine financial data and filter for targeted information using traditional as well as advanced analytic methodologies
- Liaise with Legal and Compliance, IT, and other key stakeholders and partners with respect to technology projects and other initiatives impacting the FIU
- Ensure that all analysis is completed in a timely and efficient manner, while maintaining the highest standards for regulatory and compliance requirements


- Hold a bachelor’s degree with strong academic credentials
- Have 8 years of relevant experience in financial crime compliance with deep experience in AML investigations within a financial services firm or regulatory agency
- Have working knowledge of AML laws and regulations relative to money laundering and terrorism financing
- Demonstrate proactive leadership and management skills, to drive the development of the FIU and investigations team
- Possess excellent communication and influencing skills, including the ability to work effectively with colleagues across regions and business units
- Have the ability to handle a fast paced environment effectively and meet established deadline requirements
- Possess strong analytical thinking and critical reasoning skills
- Have excellent written and verbal communications skills in English, fluency in Chinese (traditional or simplified) advantageous

Employment TypeFull-time
Career LevelSenior (6-10 years)
Education LevelBachelor
LanguageEnglish, Cantonese
Morgan StanleyInvestment Banking and Brokerage

Level 46 International Commerce Centre 1 Austin Road West Kowloon Hong Kong SAR

directions_walk21 mins walk from Austin MTR Station