Job Listings

Germantown, Maryland, EchoStar Corporation (NASDAQ: SATS) headquartered in Englewood, CO, with additional locations world-wide, is a premier global provider of satellite solutions and technology services. Together with its major subsidiaries—EchoStar Satellite Services and Hughes Network Systems— EchoStar offers employees the opportunity to explore the boundaries of what’s possible in the fields of engineering and the business functions transforming this engineering into revenue. EchoStar Corporation is currently seeking a Corporate Counsel who will be responsible for providing expert legal services in the areas of corporate, finance, securities, governance, and M&A.  The successful candidate will be an experienced finance, corporate, securities and transactional lawyer with the intellect, judgment, experience and leadership qualities to help orchestrate and drive business objectives and to engage in and take ownership of a wide variety of matters. This is a hands-on position that reports to the Senior Corporate Counsel and Director, Corporate & Securities, with whom the candidate will work closely on all matters.  The candidate also will work regularly with our Treasury, Business Development, Tax, Finance, Human Resources, Accounting and other departments.  This position will be based in our Germantown, MD office.  Responsibilities : Maintaining and implementing processes for compliance with the company’s debt covenants Advising on any debt financings, refinancings and amendments Helping to manage, lead, and support diligence transactions, including mergers, acquisitions, divestitures, investments, joint ventures, financings and strategic alliances. Participating in negotiations Managing outside counsel Leading projects among major internal stakeholders and subject matter experts.  Requirements: Juris Doctorate from a law school accredited in the U.S. Active membership and in good standing in at least one state bar 5-10 years’ experience at a law firm and/or in-house including the following: Experience with debt financing transactions and interpreting/applying provisions of debt facilities Experience running domestic and international M&A and other strategic transactions General corporate experience 1+ years’ experience managing outside counsel Ability and willingness to travel (domestic and international); generally less than 20% Preferred Qualifications : Strategic big-picture thinker with excellent legal and business judgement, ability to problem solve and to think about broader implications and impacts of issues Demonstrated ability to work effectively with all levels of management and staff and cross-functional teams throughout an organization and in multiple jurisdictions Performance driven with a strong sense of ownership, work ethic, professional integrity, personal judgement, confidentiality and unwavering ethical compass Ability to manage and prioritize multiple projects and priorities and work effectively with changing priorities in a dynamic environment under time constraints Strong organizational skills and attention to detail Excellent written and oral communication skills Strong interpersonal skills and ability to engage effectively with a variety of business people at different levels of the company Governance and securities experience, including drafting of 10-K's, 10-Q's, Section 16 reports, proxy statements and other securities reports Strong knowledge of SEC reporting obligations and compliance Understanding of best practices for governance of related party transactions   EchoStar and its Affiliated Companies are committed to hiring and retaining a diverse workforce. We are an Equal Opportunity/Affirmative Action employer and will consider all qualified applicants for employment without regard to race, color, religion, gender, pregnancy, sex, sexual orientation, gender identity, national origin, age, genetic information, protected veteran status, disability, or any other basis protected by local, state, or federal law. U.S. Citizenship is required for certain positions. EEO is the law.

Maryland, Revint Solutions, LLC is a rapidly growing company seeking an experienced attorney who can efficiently navigate business, legal and compliance issues.  The AGC will report to the General Counsel.   Responsibilities: Draft, revise and negotiate all types of general business contracts including client services agreements, business associate agreements, NDAs, subcontractor, vendor and referral agreements, technology development and license agreements. Work collaboratively across teams (i.e., business development, client services, compliance, finance, IT). Manage various legal and compliance projects, research, policy drafting, and other assigned duties. Effectively balance competing priorities and risks. Assist in contract audit, management, and implementation of internal tracking processes. In collaboration with the legal team, draft and maintain templates for common contract types and a library of approved contractual clauses.   Required Qualifications: Juris Doctor from an accredited law school. Member of the bar in good standing in at least one U.S. state. 4-5+ years of employment in general corporate or transactional practice, at a law firm or in-house legal department. Healthcare and HIPAA compliance experience a plus. Working knowledge of intellectual property issues in contracting. Working knowledge of insurance and risk management. Strong knowledge of risk allocation in contract negotiations. Strong leadership and negotiating skills. Proven skills at collaboration and effective communication with clients and within all levels of the organization. Ability to build trust and credibility with organizational leaders.  

Balitmore, Maryland, Global Financial Crimes: Anti-Corruption, Political Activities and Anti-Tax Evasion Compliance Professional.   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 Anti-Money Laundering, Sanctions, Anti-Corruption, Government and Political Activities, and Anti-Tax Evasion 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.  GFC has dedicated coverage managers and teams of analysts who advise and counsel each business unit regarding its anti-money laundering, sanctions, anti-corruption and anti-tax evasion obligations and its particular clients and transactions.   Background on the Team   The Anti-Corruption, Political Activities and Anti-Tax Evasion Compliance Professional will support three groups within GFC:   The Anti-Corruption Group (ACG) administers the Firm’s global anti-corruption program, which includes policies, procedures, and internal controls reasonably designed to comply with applicable anti-corruption laws, including the U.S. Foreign Corrupt Practices Act and the U.K. Bribery Act, and regulations in the jurisdictions in which it operates. 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, and gifts & entertainment/ethics rules across all of Morgan Stanley’s various Business Units. The Anti-Tax Evasion Group (ATE) administers the Firm’s anti-tax evasion program, which is designed to prevent the Firm and anyone acting on its behalf from engaging in activities that knowingly facilitate criminal tax evasion.   Primary Responsibilities   The Anti-Corruption, Political Activities and Anti-Tax Evasion Compliance Professional will assist in the design, implementation, and maintenance of the Firm’s anti-corruption, political activities and anti-tax evasion compliance processes, procedures, and strategy.   Specific job responsibilities include:   Review employee requests to pre-clear gifts, entertainment, charitable contributions and sponsorship's involving government officials and Firm clients, and perform related monitoring Manage and execute processes involving regulatory filings relating to political contributions, gifts/entertainment and lobbying activity Perform first-level review of escalations from processes designed to identify high risk third party engagements requiring heightened controls Execute processes designed to identify government-related clients and activities, and track employees involved in government-related business activities Provide administrative support for systems and controls designed to mitigate corruption and tax evasion risk in third party engagements Support the execution of the annual anti-corruption and anti-tax evasion risk assessment Coordinate production of metrics and other management information Provide analytical and organizational support in the development and implementation of ACG/GPAC/ATE initiatives Identify legal, regulatory and/or reputational risks and escalate potential issues as appropriate Skills Required (essential)   Candidates must: Have a 4 year college degree with strong academic credentials Have one to three years of relevant experience, preferably at a large/complex financial institution, law firm, or government/regulatory body Have outstanding organizational/project management skills and attention to detail Be proficient in Microsoft Outlook, Word, Excel, PowerPoint, SharePoint, and Adobe Be poised and comfortable with direct interaction with business clients and senior management within Legal and Compliance Be technology savvy and willing to learn new systems and tools   The ability to succeed in a fast-paced environment   Skills Desired Experience managing projects Advanced knowledge of/experience with Excel, PowerPoint, and Access Knowledge of anti-corruption, political activities or anti-tax evasion laws/regulations, including state and municipal lobbying laws

Hunt Valley, Maryland, RagingBull.com, LLC (“RagingBull”) has an exciting opportunity for an Associate Compliance Counsel, with a focus on Marketing and Media, to continue to grow a culture of risk and compliance awareness, recommending policy and procedures, proactively reviewing marketing and sales materials and auditing our compliance program. The ideal candidate will have solid experience specializing in FTC compliance, a working knowledge of SEC securities regulation, and the ability to research and interpret new rules and regulations.  The position may be located in Hunt Valley, MD, Portsmouth, NH or potentially on a remote basis.  In addition, this candidate will have an understanding of the trading functions of the financial services industry, ability to prioritize a high volume of reviews, excellent communication and interpersonal skills, and must work well both independently and as part of a team. Demonstrated organizational and time management skills in a fast-paced, high energy environment required.   ABOUT US: RagingBull is a fast growing investor education company; based in the seacoast of New Hampshire with an office in Hunt Valley, MD.  Through our premier educational platform, we teach subscribers trading strategies that will allow them to make better and smarter trading decisions.  In 2019, RagingBull was recognized as an INC. 5000 company and was one of the fastest growing companies in New Hampshire. JOB SUMMARY: The Associate Compliance Counsel will report to the General Counsel & CCO and be responsible for advising internal clients and will assist in managing outside counsel on marketing, advertising compliance and commercial transactions, as well as contracts and projects related to brand, advertising, and intellectual property development and protection. This position will be responsible for reviewing and approving communications related to Sales and Marketing, including, but not limited to: marketing materials, custom requests, factsheets, PowerPoint presentations, due diligence questionnaires, email content, website content, video productions, webcasts, and all electronic and other communications.   The Associate Compliance Counsel will also work with the sales and customer service teams to address customer-specific related items.  Responsibilities also include developing policies and procedures as well as providing internal training on compliance rules and regulations.  RagingBull retains the right to change or assign other duties to this position.  RESPONSIBILITIES: Responsible for developing, implementing and maintaining compliance monitoring, risk assessments, reporting, testing, tracking and applying regulatory priorities as well as industry best practices. Serve as an internal resource on industry regulations and guidelines regarding sales and marketing activities. Develop and implement effective policies and procedures for reviewing marketing and sales communications in all media forms. Provide IP support on production, content and marketing, including drafting and negotiating copyright, trademark and other production-related agreements Assist teams with legal advice on marketing across broad areas, including ad products, ad-tech, insights, and consumer facing marketing to ensure compliance with advertising, IP, competition, privacy, data protection and consumer protection laws and regulations, as well as other legal requirements Remain current and anticipate changes in the regulatory environment and/or risks to the reputation of the Company. Provide training for leadership and employees regarding compliance policies procedures and regulatory requirements. Monitor the effectiveness of established compliance processes and controls and recommend and implement enhancements. Review and draft commercial and employment contracts as required Provide litigation support Maintain discretion with regard to the handling of sensitive information Complete special projects, miscellaneous assignments and other duties as assigned Travel required, estimated at 20%-30%, to various locations including but not limited to, remote and office locations, conferences, company meetings, training sessions, etc. MIMIMUM QUALIFIFCIATIONS D. degree and membership in at least one US state bar 3+ years of marketing attorney experience Knowledge of laws governing advertisements (claim substantiation, false advertising, IP) and fundamental knowledge of SEC securities trading laws Experience with compliance policies and procedures for reviewing advertising, marketing, sales and promotional communications in all media forms Knowledge of privacy, data protection and consumer protection requirements Experience working collaboratively with cross-functional stakeholders, thinking strategically, and prioritizing while multitasking   PREFERRED QUALIFICATIONS: JD from accredited law school; must be licensed to practice law, preferably in New York or California. 3-5+ years of experience related to FTC compliance review of relevant sales and marketing materials and knowledge of FTC Telesales regulations. Strong working knowledge of domestic and international laws and regulations governing advertising (e.g., false advertising, claim substantiation, fair use and rights of publicity) as well as experience with copyright, trademark, general intellectual property and privacy issues Understanding of financial services industries and fundamental SEC securities trading laws Direct experience implementing, monitoring and auditing compliance procedures. Knowledge about the consumer tech, social media, product placement and web-based marketing Superior critical thinking skills, with a bias for action and confidence to make informed decisions that have both legal and business implications Excellent communication and interpersonal skills, with an aptitude for working cross-functionally Able to prioritize and execute on a number of projects at once Detail and deadline oriented with the ability and desire to operate effectively in a fast-paced environment. Must be comfortable working with colleagues in different geographic regions and/or different time zones. Potential for discretionary performance bonus

Owings Mills, Maryland, T. Rowe Price Group, Inc. (“T. Rowe Price” or the “Company”) has exclusively retained Major, Lindsey & Africa to conduct a search for a Senior Legal Counsel, RPS Operations to be located in Owings Mills, MD. T. Rowe Price is an equal opportunity employer. Interested candidates please submit your resume (in MS Word) to [email protected] . Please do not contact T. Rowe Price directly; all resumes sent to the T. Rowe Price will be routed to MLA for handling and will create delays. Company: Founded in 1937, Baltimore based T. Rowe Price Group, Inc. is a publicly-traded global investment management organization with offices in fourteen countries around the world. As of May 31, 2018, T. Rowe Price had $1.04 trillion in assets under management. The Company provides a broad array of mutual funds, subadvisory services, and separate account management for individual and institutional investors, retirement plans, and financial intermediaries. The Company also offers sophisticated investment planning and guidance tools. T. Rowe Price's disciplined, risk-aware investment approach focuses on diversification, style consistency, and fundamental research. Position Overview: The Senior Legal Counsel, RPS Operations provides support of T. Rowe Price Retirement Plan Services, Inc. and its recordkeeping of qualified and non-qualified retirement plans, including day-to-day retirement plan operations such as trading and cash movement, nondiscrimination testing, adjustments, tax withholding and plan reporting. Experience: 7+ years of experience with an in-depth understanding of employee benefits law, with an emphasis on the Internal Revenue Code and the rules and regulations promulgated thereunder (including those applicable to Section 401(a) qualified retirement plans, Section 403(b) plans, Section 457(b) plans, and nonqualified deferred compensation plans under Section 409(A)). Expertise in error remediation and correction, including the use of the IRS Employee Plans Compliance Resolution System. Compensation: Competitive base salary and bonus; commensurate with experience. Location: Owings Mills, MD. Relocation: Yes, this is a national search. Bar: Must be licensed to practice law in at least one U.S. jurisdiction.

Bethesda, Maryland, Assist Lockheed Martin Investment Management Company’s (LMIMCo) General Counsel and Deputy General Counsel in negotiating, documenting, and closing various investment-related transactions, including investment management agreements, private equity and hedge fund investments, as well as documentation relating to internal trading, such as prime brokerage, futures and swap agreements. • Support LMIMCo’s compliance programs and initiatives, including (i) managing and monitoring LMIMCo’s personal trading and conflicts of interest monitoring system, (ii) maintaining LMIMCo’s policies and procedures, (iii) taking the lead in ensuring that all required governmental and non-governmental filings are completed and filed in a timely manner, (iv) overseeing LMIMCo’s regulatory library (ADVs, proxies, etc.), and (v) researching regulatory, compliance, and ethics issues. • Assist LMIMCo’s General Counsel and Deputy General Counsel with the preparation of various legal documentation in connection with LMIMCo’s day-to-day operations, including (i) preparation of the quarterly presentation to the Board of Directors, Board and Committee resolutions, and other related documentation, (ii) assisting the investment team with the preparation of quarterly senior staff presentations to LMIMCo’s President and other ad hoc presentations, (iii) corporate and shareholder resolutions and other books and records of LMIMCo and the Master Retirement Trust’s proprietary investment vehicles, (iv) miscellaneous service agreements and confidentiality agreements, and (v) other legal documents and correspondence. • Support LMIMCo’s General Counsel and Deputy General Counsel on litigation matters as they arise, including coordinating with third-party service providers with class action filings. • Manage and maintain LMIMCo’s legal library to ensure a full set of documentation (both paper and electronic) for each investment-related and other transaction. • Partner with Lockheed Martin Corporation’s legal, HR, benefits, and finance teams on various compliance, reporting and other special projects. • Support LMIMCo’s General Counsel and Deputy General Counsel as necessary to provide outstanding legal support to LMIMCo’s full team of investment and operations professionals. Basic Qualifications: Bachelor’s degree and law degree from accredited law school, with 2-5 years of legal experience at a law firm, investment company, governmental organization, or financial institution. Strong organizational skills and attention to detail. Excellent interpersonal, written and oral communication skills. Ability to adapt quickly and work well under pressure in a fast-paced, challenging environment. Willingness to learn new areas of legal practice and think creatively to solve complex problems. Demonstrated maturity, judgment, and discretion in handling sensitive matters. Desired Skills: 2-5 years of legal experience at a law firm, investment company, governmental organization, or financial institution. Demonstrated experience in drafting and negotiating contracts or other legal documents. Experience closing large to medium-sized corporate transactions (such as corporate M&A transactions, bank financing transactions, or private equity fundraising) a plus. Familiarity with ERISA, securities laws, and other investment-related laws and regulations a plus. Facility with MS PowerPoint, MS Excel, and PDF a plus.

Maryland, 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.   Position Description  Morgan Stanley’s Bank Compliance team seeks a Training Officer to manage all internal and external compliance training initiatives for Morgan Stanley’s two US banks, with particular emphasis on the development and management of a robust job function-specific Compliance course catalogue. This position reports into the Head of Policies, Procedures and Training and may have direct reports.   Primary Responsibilities: In collaboration with the Head of Policies, Procedures & Training, create and implement training strategy, standards and formats for all Bank Compliance courses Assess the needs for Bank-wide Compliance training, identify gaps in training, and manage the development and delivery of compliance training programs across various channels, web-based, in person, and site events Build and leverage relationships with internal and external stakeholders with a focus on fostering a partnership in developing relevant, engaging compliance training solutions Design courses in Articulate Storyline or other publishing tools and implement position-specific Compliance curricula for all Bank employees, both in e-learning, webinar and instructor led format, particularly building targeted job function and issue-specific courses Ensure all Compliance training materials are current and up to date, keeping pace with regulatory change and focus as well as  bank and firm business developments Create and execute an annual training schedule and report progress to plan to Compliance management and Bank governance committees Manage the annual compliance risk assessment as it relates to compliance training to identify risk areas and implement controls to mitigate these risks Lead or assist Compliance Subject Matter Experts (SMEs) with instructor led courses Develop and manage professional development and certifications of Bank Compliance team members including scheduling, tracking, and budget Skills Required: Bachelor degree and 5-10 years of relevant industry experience or equivalent business experience with a minimum of 5 years of experience in L&D / Training Familiarity with institutional and retail bank products and bank laws and regulations Strong working knowledge of  Cornerstone On Demand, Articulate Storyline, Adobe Captivate, PowerPoint and  other eLearning publishing tools Knowledge of learning and development best practices for adult learning in e-learning and ILV formats Excellent organizational skills to manage multiple projects and ability to work independently in a fast paced development and production support environment Demonstrated personnel management and collaborative work style Occasional travel among Bank personnel locations (Dallas, Baltimore, Phoenix, New York City and/or Purchase NY)   Skills Desired: Highly organized and detail oriented with superior follow up skills Able to perform analysis and problem identification, determine solutions and best execution and able to work under specific deadlines Excellent oral, written and analytical skills Strong interpersonal skills and ability to partner with internal and external stakeholders to develop practical solutions that meet business needs while remaining compliant with applicable laws and regulations Strong work ethic and drive Strong sense of integrity and ethical leadership Strong team-orientation Project and Vendor management

Maryland, Bank Compliance, which is charged with oversight and coordination of the Compliance program for Morgan Stanley’s two US Banks (Morgan Stanley Bank, N.A. (MSBNA) and Morgan Stanley Private Bank, N.A. (MSPBNA)), seeks two  Bank Compliance Risk Assessment Professionals  to assist with the preparation and execution of three annual risk assessments: the Laws, Rules and Regulations (LRR) which is an assessment incorporating control ratings from both First and Second lines of defense stakeholders; Compliance Risk Assessment (CRA) which is an assessment of compliance risk conducted by Compliance, and the Risk Controls Self-Assessment (RCSA) which is compliance risk assessment of compliance-related controls  This position will report to the ED, Compliance Risk Assessment Officer in the US Banks Core Compliance division.   Key Responsibilities Law Rules and Regulations (LRR) Risk Assessment Manage MSPBNA and MSBNA Laws, Rules & Regulations Risk Assessment across all First and Second Lines of Defense stakeholders, including Refine the LRR methodology for assessing Compliance Risk Maintain the Ownership and Applicability (O&A) Matrix validating First and Second Lines of Defense stakeholders requiring an understanding of the rules and the products Prepare project plan for LRR execution Project manage upgrades and changes to the LRR technology platform Maintain and update LRR Methodology, Procedures and Training decks Deliver training to First and Second Lines of Defense Execute a Quality Assurance program including identification of gaps and/or inconsistencies Synthesize data and identify trends and potential risks Design and deliver reporting to senior management   Compliance Risk Assessment (CRA) Coordinate the execution of the CRA across Bank Compliance Serve as primary Bank Compliance contact for Global CRA alignment Execute a Quality Assurance program including identification of gaps and/or inconsistencies Synthesize data and identify trends and potential risks Design reporting for senior management   Risk & Control Self-Assessment (RCSA) Coordinate the execution of the RCSA across Bank Compliance Serve as primary Bank compliance contact for Global RCSA alignment Prepare results for senior management

Maryland, 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 Anti-Money Laundering (AML), Economic Sanctions, Anti-Tax Evasion, 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.  GFC has dedicated coverage managers and teams of analysts who advise and counsel each business unit regarding its AML, economic sanctions and anti-corruption obligations and its particular clients and transactions. Background on the Team The Wealth Management (WM) GFC Advisory group focuses on the anti-money laundering obligations associated with the Firm’s Wealth Management business.  The team is responsible for advising on the financial crime risk associated with client onboarding and due diligence executed for new clients and accounts.  Reporting Lines This role reports ultimately to the Head of Bank and Wealth Management GFC Advisory.  The role has several direct reports and has supervisory responsibilities over the WM GFC Advisory professionals assigned. Primary Responsibilities The WM GFC Advisory Manager will: Team Management Activities: Assist the Head of Bank and WM GFC Advisory in managing the team of Analysts responsible for advising on the financial crime risk associated with client onboarding and due diligence that is executed for new clients and accounts Provide general supervisory support for WM GFC Advisory Analysts and serve as their first point of contact for daily questions and issues Manage WM GFC Advisory Analysts’ workloads including tracking outstanding inquiries and working with the Analysts towards resolution of issues Provide initial training to all new hires on WM GFC processes and risk analysis Report current status of work items under review by WM GFC Advisory Analysts to the Head of Bank and WM GFC Advisory, and address any issues with the Analysts Provide WM GFC Advisory Analysts with timely, constructive, and ongoing feedback regarding their respective work products and performance Represent WM GFC on senior stakeholder forums Liaise with first line AML teams, provide guidance, oversight and best practices Client Onboarding, Know Your Customer (KYC) and EDD Responsibilities: Provide guidance to branch office personnel with their adherence to USA PATRIOT Act and Office of Foreign Assets Control (OFAC) sanctions requirements Assist in the compilation of monthly WM GFC related metrics for management reporting purposes Lead and participate in team meetings led by the Head of Bank and WM GFC Advisory Other GFC Activities Assist the Head of Bank and WM GFC Advisory with oversight of regulatory exams and inquiries Manage implementation of internal policies and make recommendations to improve policies and procedures to maximize departmental resources Participate in targeted training conducted for Business Units Candidates must have: 4 year college degree with strong academic credentials 5 to 8 years of experience with Bank Secrecy Act (BSA)/Anti-Money Laundering Regulations within the financial services industry, or at a financial services regulator (e.g., Office of the Comptroller of the Currency, Federal Reserve Bank, Securities and Exchange Commission, Federal Deposit Insurance Corporation) Strong knowledge of Client Onboarding, KYC and EDD Strong knowledge of the USA PATRIOT Act, BSA and OFAC regulations Strong understanding of financial markets and banking Awareness of current laws, rules and regulations Strong client-relations skills and ability to partner with clients to develop practical solutions that meet business needs while remaining compliant with applicable laws and regulations Strong leadership qualities with the ability to manage both small and large teams while assessing and developing team skill sets and providing timely constructive feedback Excellent interpersonal skills and ability to work effectively with colleagues across regions and Business Units Strong written and verbal communications skills, attention to detail and effective time management skills Ability to use various PC, MS Office and internet applications and tools to support AML processes Ability to handle highly confidential information professionally and with appropriate discretion Strong analytical thinking and critical reasoning skills Ability to effectively handle a fast-paced environment and successfully meet established deadline requirements Be self-motivated and must have the ability to work independently Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license – or certification within first 15 months of employment Skills desired Foreign language skills are a plus

Maryland, 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 Anti-Money Laundering (AML), Sanctions, Anti-Corruption, Anti-Tax Evasion, 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.  GFC has dedicated coverage managers and teams of analysts who advise and counsel each business unit regarding its AML, economic sanctions, anti-corruption, anti-tax evasion, and political activity obligations and its particular clients and transactions. Group Profile Morgan Stanley is committed to a strong GFC program to protect against the use of the Firm’s products, services, and facilities for prohibited transactions or the purpose of evading, avoiding or otherwise circumventing sanctions, AML, anti-corruption, anti-tax evasion, and political activity laws and regulations. The Firm has adopted a comprehensive, risk-based program to ensure compliance with applicable laws, regulations and government guidance. GFC Legal Advisory provides legal advice, expertise, and guidance to all business lines and works closely with senior members of GFC in support of the enterprise-wide program. Primary Responsibilities The Institutional Securities Group (“ISG”) GFC Advisory and Onboarding Professional will be based in Baltimore and report directly to the Americas Head of GFC ISG.  The GFC ISG Advisory team is tasked with the day-to-day execution of the overall financial crimes program, with a focus on AML, for the Institutional Securities business at Morgan in the Americas (including Canada and Latin America), which includes investment banking, global capital markets, fixed income, commodities and institutional equities. Specific job responsibilities include: Assist in in providing support in connection with Know Your Customer (KYC) onboarding, enhanced due diligence and transactional due diligence matters Assist in advising on transactional due diligence with respect to clients, counterparties, co-investors, and target companies/assets and providing guidance to the business on due diligence requirements Conduct comprehensive enhanced due diligence reviews of both new and existing clients including analyzing corporate structures and other documentation as necessary Develop an understanding of anti-money laundering regulations, policies, and procedures Assist in developing and communicating a GFC risk view with respect to clients, counterparties, and/or transactions Assist in developing content and delivering trainings to the business, risk, legal, compliance and other first-line and support functions Assist in drafting and executing on policies and procedures Review various third-party and internal databases to assist with due diligence searches as needed Assist with the review of clients and client accounts for potential matches to designated sanctions targets and prohibited persons lists Participate in various business, GFC and ISG GFC Advisory meetings Liaise and coordinate within GFC and with key stakeholders across the Firm, including legal, compliance, regulatory relations, and risk, to ensure appropriate execution of the Firm's enterprise-wide financial crimes prevention program 4 year college degree with strong academic credentials 3 to 5 years of Anti-Money Laundering or other financial crimes compliance  experience at a large financial institution Strong analytical skills Excellent written and verbal communication skills Ability to interact in a mature and professional manner with a variety of individuals Ability to exhibit excellent judgment, initiative and adherence to deadlines Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license - or certification within first 15 months of employment Skills Desired Juris Doctor (JD) degree with strong academic credentials