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Financial Crime

• Execute portfolio and thematic financial crimes risk assessments across customer types, products and services, delivery channels, and geographies
• Prioritize findings and measurable mitigation actions through emerging-risk reviews, heightened-risk portfolio reviews, and targeted deep dives
• Assess financial crimes risks for new and existing clients and recommend, document, and communicate mitigation and escalation plans
• Use KYC/EDD, case management, adverse media, screening, transaction monitoring, customer risk rating, and dashboard outputs to identify patterns, anomalies, exposure changes, and control gaps
• Translate findings into risk decisions, client actions, control enhancements, and governance reporting
• Identify and operationalize financial crimes trends and typologies using investigative intelligence, tools, and analytics teams
• Incorporate external advisories and red flags into monitoring hypotheses, thematic reviews, training, and escalation criteria
• Analyze cross-border risks involving corruption, sanctions, ownership transparency, complex structures, and high-risk industries
• Apply U.S. AML/CFT and BSA/AML requirements to KYC, customer risk assessment, and control design
• Develop scalable first-line guidance and procedures and support compliance with applicable regulations, standards, and policies
• Develop and report portfolio risk indicators, trend and typology insights, and control performance metrics
• Use intelligence, tool outputs, portfolio analytics, process reviews, control testing, and frontline feedback to challenge assumptions and identify emerging risks
• Collaborate with senior business leaders, Second Line, Technology, Internal Audit, Compliance, Legal, Operations, and data teams
• Support decisions involving transactions and activities that may create financial crimes risk, including escalation pathways, risk acceptance rationale, and compensating controls
• Translate international risk considerations into U.S. AML/KYC requirements and design mitigants for documentation, registry, or legal gaps
• Apply beneficial ownership requirements and analyze ownership and control structures for legal entity customers
• Support responsible use of approved AI-enabled capabilities by defining use cases, requirements, controls, validation considerations, and documentation

Vice President – Financial Crimes Risk Intelligence, Assessment Office

Business Intelligence Analyst

• Prepare quarterly, monthly, and ad hoc analysis and client reporting for institutional and/or wealth management clients
• Perform detailed reviews of client deliverables
• Design, prepare, and review custom institutional client reports using FactSet, Excel, and Word
• Assist with designing tactical reporting solutions for new products
• Manage timely and accurate delivery of all requests
• Investigate portfolio-specific inquiries
• Develop specialized knowledge of Parametric products and strategies
• Uphold department reputation through professionalism, accuracy, responsiveness, and client service
• Develop working knowledge of the firm's structure, key personnel, policies, procedures, and professional services environment
• Collaborate with multiple departments and coordinate simultaneous projects and tasks
• Assume other responsibilities as required

Client Reporting Analyst – Parametric

Associate

• Negotiate, review, and draft master agreements using English and New York law
• Support Commodities desks with physical and financial master agreements and ancillary documents
• Review and negotiate ISDA schedules, ISDA annexes, NAESBs, EEIs, credit support annexes, bespoke physical master agreements, guarantees, and ancillary documents
• Liaise with Credit, Risk, Legal, Sales, Operations, Tax, and other internal groups
• Ensure agreements contain appropriate terms protecting Morgan Stanley under applicable policies, procedures, and regulations
• Discuss Morgan Stanley’s position in master agreements with clients
• Maintain up-to-date work-in-progress records
• Monitor business and regulatory developments affecting operations
• Work with business professionals, external counsel, and clients to execute master agreements effectively and efficiently

Associate, Commodities Document Negotiator

Director

• Represent product distribution at Wirehouse and Independent Broker-Dealers within the South Region (TX, OK, AK, LA, MS and AL)
• Serve as product subject matter expert across customized portfolios, tax management and specialized strategies
• Support products including Parametric Equity and Income SMAs, derivatives, Eaton Vance Exchange Funds and charitable solutions
• Identify client needs and coordinate service efforts for assigned advisors
• Provide technical and sales support and partner with Eaton Vance wholesalers within the territory
• Meet with advisors and their largest clients
• Conduct strategy training meetings at branch and regional levels for advisors and partner-firm regional management
• Work with an Internal Specialist to fulfill the territory business plan
• Consult with sophisticated advisors on advanced strategies
• Increase AUM of major Wirehouse and Independent Broker-Dealer clients
• Own the client experience for Wealth Strategies Group products within the territory
• Follow Strategy Specialist guidelines

Executive Director, Wealth Strategies Group – Wirehouse & Independent Broker-Dealers

General

• Serve as the primary point of contact for clients and internal and external business partners, including Financial Advisors, clients, and Private Bankers
• Listen to client needs, understand loan transactions, manage expectations, and provide transparent communication and timely updates throughout the mortgage loan process
• Act as the initial escalation point for loans in process and provide alternative solutions
• De-escalate situations and determine when further escalation is necessary
• Manage and oversee the loan pipeline to ensure all loans progress according to established expectations
• Request, review, and validate loan processing documents, including income, credit, appraisal, insurance, and title documents
• Coordinate with processing, underwriting, credit risk, and other internal and external partners to complete fulfillment and ensure timely closings
• Review and recommend solutions regarding credit risk for high-net-worth clients with complex income, asset, and vesting scenarios
• Obtain documents to satisfy underwriting approval conditions and support product/pricing negotiations
• Provide feedback on client experience enhancements and process efficiencies
• Achieve high levels of Client and Financial Advisor satisfaction
• Proactively manage loan escalations to ensure timely resolution and an enhanced client experience

Vice President – Financial Crimes Risk Intelligence, Assessment Office

Client Reporting Analyst – Parametric

Associate, Commodities Document Negotiator

Executive Director, Wealth Strategies Group – Wirehouse & Independent Broker-Dealers

Mortgage Specialist