E*TRADE from Morgan Stanley ยท 5 months ago
Assistant Vice President - Financial Crimes Risk Officer - Program Advisory
Miami, Florida, United States of America
Full-time
Onsite
Mid, Senior Level
5+ years expE*TRADE from Morgan Stanley is seeking an Assistant Vice President - Financial Crimes Risk Officer - Program Advisory to enhance their financial crimes program. This role involves collaborating with various stakeholders to develop and implement new processes, policies, and technology requirements, while ensuring regulatory compliance and effective execution of financial crimes strategies.
BankingFinanceFinancial Services
Responsibilities
Support the development and implementation of new processes, requirements, policy changes, and design of new operating models for Wealth Management & E*TRADE including supporting US Banks, and Investment Management business
Support the assessment of enhancements needed for Financial Crimes program including AML, Sanctions and Tax evasion controls
Work with process owners, subject matter experts, technical experts, end users and other stakeholders to gather information about current processes within the Single Process Inventory (SPI) to document the end-to-end business process with focus on data attributes, data sources, control features, and interfaces with other systems. Ensure consistency in rules/definitions across SPIs, where applicable
Perform daily data integration, profiling and visualization via multiple data tools (e.g. via MS Office Excel, Dataiku, and others) to support and assess the design of Financial Crimes strategies proposed by First Line Financial Crime
Perform research and analysis of enterprise data sets to identify key data points from Wealth Management and US Banks source systems to promote processes improvements within Financial Crimes
Work with technology teams to review and enhance existing data environments by incorporating data tables as deemed necessary for analytical purposes
Participate in training sessions for analytical tools and data forums to keep Financial Crimes Program Advisory up-to-date with data developments and existing migrations plans
Partner with different stakeholders to Develop and enhance AI solutions to collect and analyze data using data science techniques to uncover actionable insights
Collaborate with data analysts, software engineers, and data engineers to create sustainable data science solutions
Visualize data insights to effectively communicate findings to stakeholders
Participate in cross-functional initiatives as a subject matter expert
Monitor service and productivity levels, implementing continuous improvements where necessary
Educate the organization on statistical validation and data science principles
Support the assessment of complex issues, structure potential solutions, and drive effective resolution with senior stakeholders
Assist in the execution of Financial Crimes risks initiatives that arise for the first line in the WM businesses
Qualification
Required
5+ years of relevant experience with BSA/AML Regulations within the financial services industry, or at a financial services regulator (e.g., FINRA, Securities and Exchange Commission, Office of the Comptroller of the Currency, Federal Reserve Bank, etc.)
Have an undergraduate degree in Business, Finance, or other related fields
Strong leadership qualities and evidence a strong work ethic as well as a high degree of integrity
Implementation and execution of Financial Crimes Programs requirements
Knowledge of Financial Crimes laws and regulations and familiarity with best practice first line procedures and processes
Familiarity with data reconciliation across applications
Experience with data application mapping (inflows and outflows)
Experience with relational databases, file systems, reading & writing code (e.g. SAS, SQL)
Experience in one or more of the following areas: business intelligence/analytics, data management, data governance, data controls, data quality management, and/or data architecture
Understanding of data governance, data quality, and data management and data concepts
Strong Experience in Microsoft Office applications(Microsoft Excel/PowerPoint/Word/Access)
In-depth knowledge and experience with various machine learning algorithms (supervised and unsupervised) and analytical toolkits
Analyze, summarize, and communicate effectively
Working knowledge of MS Office (Microsoft Excel/PowerPoint/Word/Access)
Work Independently and being proactive
Operate with confidence and comfort in high-paced and high-profile environments with minimum supervision
Multitask effectively and execute actions promptly
Identify issues, investigate root causes, and escalate promptly
Handle highly confidential information professionally and with appropriate discretion
Preferred
Certified as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license is a plus
Certified Sanctions Specialist is a plus
Knowledge of Financial Crimes regulatory requirements and expectations
Strong time management and planning skills
Strong interpersonal skills and ability to communicate effectively both verbally and in writing
Working knowledge of programming language (e.g. SQL) and experience with data visualization tools
Experience on AI collaboration and integration to BAU processes
Benefits
Some of the most attractive and comprehensive employee benefits and perks in the industry.
Company
E*TRADE from Morgan Stanley
E*TRADE from Morgan Stanley is a pioneer in the online brokerage industry.
1001-5000 employees
Funding
Current Stage
Public CompanyTotal Funding
unknown2020-02-20Acquired
1996-08-16IPO
Leadership Team
Julia Miller
Director and Customer Marketing
Recent News
2025-11-07
2025-10-14
Company data provided by crunchbase