Global Financial Crimes: Government and Political Activities Compliance (GPAC) Professional

20 Sep, 2022

Jobs

Global Financial Crimes: Government and Political Activities Compliance (GPAC) Professional

Morgan Stanley
Baltimore, MD

DESCRIPTION
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, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Department Profile
Global Financial Crimes (GFC) coordinates day-to-day implementation of the Firm’s enterprise-wide financial crime prevention efforts. GFC includes several legal and compliance disciplines and has responsibility for governance, oversight and execution of the Firm’s AML, Sanctions, Anti-Corruption and Government and Political Activities Compliance programs. 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.
Background on the Team
The Government and Political Activities Compliance Group (GPAC) focuses on compliance with U.S. federal, state and municipal regulations governing interactions with U.S. government officials, including political contribution/pay-to-play regulations, lobbying laws, outside business activities, and gifts & entertainment/ethics rules across all of Morgan Stanley’s various Business Units. GPAC designs, executes, and monitors applicable policies, procedures, and controls governing employee political activities and interactions with U.S. government officials.
Primary Responsibilities
The Government and Political Activity Compliance Professional reports to the Head of GPAC and will provide advisory coverage to business units on the various aspects of U.S. government interactions and be responsible for administering the Firm’s policy on U.S. political contributions and fundraising activities of employees, as well as compliance with applicable U.S. federal, state and municipal rules that govern business interactions with government entities. This includes:
– Reviewing pre-clearance requests for employee and corporate political activities, outside government/political activities, post-government employment restrictions, and outside business activities with a government nexus
– Supporting, coordinating, and reviewing proposed expenditure requests for compliance with applicable federal, state, and municipal laws and regulations related to gifts, entertainment, charitable contributions, and sponsorships involving U.S. government officials
– Performing monitoring activities, including, Identifying, escalating, and documenting policy violations
– Creating and conducting trainings for business units, as well as other areas that serve a control function, to address pay-to-play and governmental ethics issues
– Managing various internal and external reporting requirements including pay-to-play filings and certifications, lobbying reports, and GPAC metrics
– Supporting processes designed to identify government-related clients and activities
– Coordinating with technology partners to maintain relevant systems and controls
– Providing analytical and organizational support in the development and implementation of GPAC initiatives

QUALIFICATIONS
Skills required (essential)
– Knowledge of US pay-to-play and ethics issues at federal, state, and municipal levels
– 3+ years of relevant experience preferably a large/complex financial institution, law firm, or government/regulatory body
– Have strong legal research skills for state and municipal regulatory requirements
– Exceptional written and verbal communications skills, attention to detail, effective time management and project management.
– Articulate, poised and comfortable with direct interaction with business clients and senior management within Legal and Compliance
– Technology savvy with ability to quickly learn new systems and tools, and to identify and implement enhancements
– Proficient in Microsoft Outlook, Word, Excel, PowerPoint, Access, SharePoint, and Adobe
– The ability to succeed in a fast-paced environment
– JD preferred

Learn more here

Job posted: 2022-09-20