MLRO, Morgan Stanley, Dubai, UAE

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DESCRIPTION

Compliance officer - MLRO, Vice President 

Dubai

3245986

Morgan Stanley DIFC Branch

Morgan Stanley, one of the world’s largest financial services firms, has been active on behalf of clients in MENA since the early seventies. We have steadily built our relationships and expanded our offerings in the region: our comprehensive range of services includes mergers and acquisitions, corporate finance, equity and debt capital markets, and sales and trading activities, as well as asset management. From our Offices in Saudi Arabia, the UAE and Qatar, we provide clients access to global opportunity, and solutions to their most complex problems.  Our Firm’s regional presence is enhanced by our broad reach in the global capital markets, innovative thinking, and unwavering focus on meeting our clients’ needs. Together these have made Morgan Stanley an especially strong name in MENA.

 Overview of the role

Primary Responsibilities

A role has arisen for a Vice President in the Morgan Stanley DIFC Branch Compliance department. The individual will work on all aspects of Anti-Money Laundering/ Counter Terrorism Financing (AML/CTF) Compliance in support of Morgan Stanley’s various business units operating in the UAE and Qatar. The individual will ensure that the organisation acts in compliance with internal AML/ CTF policies, external rules and regulations in the UAE and Qatar. Ultimately, the objective of the role is to work with the Head of MENA Compliance and EMEA Global Financial Crimes (GFC) team to protect Morgan Stanley’s franchise in the MENA region.

 

Reporting to the Head of MENA Compliance and functionally to the EMEA Head of GFC, the individual will assume a number of responsibilities. In particular, the individual will hold the following registered roles:

·        MLRO for MSIP DIFC Branch   

·        MLRO for MSIP QFC Branch

The individual may be required to take on additional regulatory roles to support business expansion in the region.

 Responsibilities

The position entails the development and maintenance of the Financial Crimes framework and activities within the MSIP branches in DIFC and QFC and facilitating co-ordination between MENA GFC, Compliance coverage teams, business units, infrastructure teams and other regional and global Financial Crimes functions. The primary tasks, detailed further below, are advising and assisting in the implementation of Financial Crimes Compliance activities, including risk assessment.

·     Oversee the maintenance and review of AML/CTF policies and procedures to facilitate compliance with the UAE and Qatar Federal laws and DIFC/QFC AML regulations to ensure they reflect current legal and regulatory developments and requirements;

·        Identify upcoming changes in the UAE and Qatar Federal AML/CTF laws, understand its impact on the Morgan Stanley entities and maintain rules inventory for DIFC and QFC;

·        Lead the implementation of AML/ CTF processes/procedures to comply with laws and regulations;

·     Provide specialist advice and support for the business and the operations teams on the interpretation of AML/CTF policy and high-risk client relationships as required;

·        Consolidate and analyse AML/CTF related data, including escalation and reporting of results, and review and challenge any AML/CTF related data or risk management reports provided, including considering trends and identifying themes;

·        Oversee the annual assessment of AML/CTF related risks, including review, challenge and reporting of results;

·        Oversee the monitoring and periodic assessment of AML/CTF systems and controls;

·     Compile the Money Laundering Reporting Officer’s (MLRO’s) annual report, including an assessment of the operation and effectiveness of the relevant AML/CTF systems and controls, highlighting any significant issues and findings;

·      Oversee the implementation of any enhancements as required, incorporating recommendations arising from regulatory enquiries, risk assessments and audit findings;

·        Identify training needs and oversee the development and delivery of Financial Crimes training;

·        Oversee the ongoing operation of the general Financial Crimes control framework, including Economic Sanctions, Anti-Bribery and Corruption and Anti-Tax Evasion; 

·        Escalate and inform MENA Management and EMEA GFC management, as required, of significant AML/CTF and other Financial Crimes issues;

·      Interact with local regulators and other agencies, including responding to regulatory requests and queries, filing annual returns and understand current regulatory themes; and

·        Review suspicious activity reports and oversee their filing with the relevant authorities.

The responsibilities listed are the core responsibilities in relation to this role. From time to time, the role holder may be called upon to take on additional responsibilities as required to meet the objectives of their division and of the wider organisation.  

 

QUALIFICATIONS

Experience and Educational Qualification Required

·        Extensive experience in Anti-Money Laundering or a related discipline with a leading international or a large financial institution in the UAE.

·        Currently registered as a MLRO with one of the UAE regulators (SCA/DFSA/FSRA) on behalf of their firm.

·        Good understanding of SCA/DFSA/FSRA/QFCRA AML/ CTF rules and regulations.

·        Familiarity with some or all the business lines operating in Morgan Stanley’s MENA franchise (Institutional Sales and Trading, Investment Banking/ Capital Markets and Investment Management)

·        The candidate must hold ACAMS qualification (or currently working towards the certification) and preferably have an academic qualification in Law/Finance/Accountancy

 

Key attributes

·        Exceptional oral and written communication skills. Candidates must possess a demonstrable ability to distil complex and detailed information, present information clearly in PowerPoint and Excel, Word and draft business memos

·        Pro-active, motivated, strong organisational skills, with ability to handle multiple tasks, work under pressure, and manage competing priorities 

·        Exceptional problem solving and execution skills with attention to detail

·        Excellent presentation skills

·        Impeccable interpersonal and client-service skills

·        Demonstrable track record of exercising sound and independent judgment and ability to identify issues requiring escalation

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