Internal Audit, Financial Crimes, Director (AVP equivalent) Glasgow JR016514 We're seeking someone to join our team as a Director in the Global Financial Crimes audit team specifically providing coverage for KYC processes. The Internal Audit Division (IAD) drives attention and resources to vulnerabilities by providing an independent and well-informed view and impactful messages about the most important risks facing our Firm. This is accomplished by performing a range of assurance activities to independently assess the quality and effectiveness of Morgan Stanley’s system of internal control, including risk management and governance systems and processes. IAD serves as an objective and independent function within the Firm’s risk management framework to foster continual improvement of risk management processes. This is a Director level position within Business Audit, which is responsible for inspecting controls in front, middle and back offices. At Morgan Stanley Glasgow, we support the Firm’s global Operations, Technology, Finance, Corporate, and Institutional Securities divisions. Known for its excellence in process, client service & leadership, our Glasgow teams have led us to win numerous innovation and people awards. Morgan Stanley has been rooted in the Glasgow community since 2000, steadily contributing to the development of a vibrant local financial services and fintech industry. Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world. What you'll do in the role: • Help identify risk and impact to the Global Financial Crimes area within the Compliance division to prioritize areas of focus • Execute and lead aspects of assurance activities (e.g., audits, continuous monitoring, closure verification) to assess risk and formulate a view on the control environment • Facilitate conversations with stakeholders on risks, their impact and how well they are managed in a clear, timely and structured manner • Assist in effectively managing multiple deliverables in line with team priorities and delivering high-quality work • Solicit and provide feedback and participate in formal and on-the-job training to further develop self and peers • Represent the Compliance audit team by providing KYC subject matter expertise to other business coverage areas in front-to-back audits What you'll bring to the role: • At least 4 years' relevant experience would generally be expected to find the skills required for this role. • Understanding of business line and key regulations relevant to Global Financial Crimes, including KYC process. • Strong understanding of audit principles, methodology, tools and processes (e.g., risk assessments, planning, testing, reporting and continuous monitoring). • Ability to identify and analyse multiple data sources to inform point of view. • Ability to ask meaningful questions, understand various viewpoints and adapt messaging accordingly. • A commitment to practicing inclusive behaviours. • Strong technical understanding of KYC processes and regulatory expectations, with excellent verbal, written, and interpersonal communication skills. • ACAMS qualification or equivalent ispreferred • Relevant certifications (e.g., CIA, CAMS, CFCS) preferred WHAT YOU CAN EXPECT FROM MORGAN STANLEY: 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. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser. Certified Persons Regulatory Requirements: If this role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks. Flexible work statement Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more. Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents. At Morgan Stanley, we advise, originate, trade, manage and distribute capital for people, governments and institutions, always with a standard of excellence and guided by our core values. Morgan Stanley is dedicated to providing first-class service to our clients, in a way that reflects our commitment to creating a more sustainable future and fostering stronger communities around the world. In each line of business, we strive to demonstrate our belief in the power of transformative thinking, innovative strategies and leading-edge solutions—and in the ability of capital to work for the benefit of all society. What We Do
