Ellis Emmerson
London Bridge
Summary
Proactive law graduate with over 5 years of experience in investment banking, specialising in global financial crimes risk advisory. Expertise in identifying financial crimes risks across sales and trading desks, supported by a solid background in middle office equity swaps cash settlements. Strong risk management skills combined with a proven ability to build client relationships and navigate high-stress situations. Recognized for exceptional organizational skills and attention to detail, contributing to efficient deadline management and team collaboration.
Overview
9
9
years of professional experience
1
1
Certification
Work history
ISG Central Risk Associate
Morgan Stanley
London
2025.02 - Current
- Promoted to Associate and transitioned to the First Line Central Risk Unit, overseeing all clients within the Investment Banking Division ('IBD'), Global Capital Markets ('GCM') and Sales and Trading desks i.e. SPG, Fixed Income and Equities divisions.
- Helping the desk with advisory queries relating to KYC onboarding for urgent live transactions.
- Conducted Enhanced Due Diligence ('EDD') review for clients being onboarded within the IBD/GCM private side and ensured timely completion of reports prior to clients transaction or deal being executed.
- Provided KYC advisory and anti-money laundering subject matter expertise to senior stakeholders, identifying and mitigating financial crimes risks associated to specific transactions/customer types.
- Drafted customer due diligence questionnaires ('DDQs') in relation to high risk triggers i.e sanctions exposure, negative news, PEP's, HRJ nexus and high risk customer types and presented any challenging clients to our client risk review governance forum.
- Coordinated process improvement innovations within our complex query resolution space through collaboration with KYC management and other operations teams.
- Liaised with client onboarding and sales to ensure we had appropriate client engagement and preventing missed target deadlines or escalation to the consequence framework governance forum.
Global Financial Crimes Analyst
Morgan Stanley
Glasgow
2022.07 - 2025.02
- Operated within the Global Financial Crimes Risk advisory team in the second line of defence, overseeing clients in sales and trading, specifically within the Fixed Income Division ('FID') and Institutional Equities Division ('IED').
- Executed high-risk enhanced due diligence ('EDD') forms, identifying and mitigating financial crimes risks such as sanctions, high risk jurisdiction nexus, negative news alerts relating to bribery and corruption and PEP's.
- Assessed new product approval reviews ('NAP') to identify financial crimes associated with new product or services to the firm and provided a subject matter expertise review on the senior risk review committee.
- Reviewed clients at onboarding and identified and mitigated potential financial crimes risks before submissions to the client selection committee ('CSC') or escalation to the client risk review ('CRR') committee.
- Collaborated with senior stakeholders and customer onboarding/KYC services teams to offer guidance on KYC requirements in accordance to policy.
- Provided expertise to KYC services in relation to clients periodic refresh cycle and customer due diligence review ('CDD').
- Led thematic reviews addressing complex high-risk financial crimes triggers and developed compliance systems, policies and procedures.
- Achieved ACAMS certification.
Operations Analyst
Morgan Stanley
Glasgow
2021.09 - 2022.07
- Contributed to the Glasgow settlements team focusing on Equity OTC derivative products.
- Developed a comprehensive understanding of operational and franchise risk, emphasizing the importance of timely escalation.
- Addressed client inquiries related to position discrepancies, corporate action bookings, and reporting.
- Maintained regular communication with clients to coordinate future cash flows.
- Investigated and resolved client issues by collaborating with trading desks, sales teams, and middle office groups for swift resolutions.
- Conducted reconciliation and analysis of outstanding break discrepancies.
- Partnered with operational management, sales, and trading desks to reduce risk through effective escalation and communication.
Retail Sales Advisor
Molton Brown
Glasgow
2019.09 - 2021.09
- Ensured exceptional customer satisfaction by delivering personalised service and leveraging extensive product knowledge.
- Executed seasonal merchandising and floor relocations to align with business demands and emerging trends.
- Operated the cash register to efficiently process cash, cheque, and credit card transactions.
- Consistently met KPI targets by utilizing exceptional service skills, product knowledge, and effective upselling techniques.
- Replenished floor stock and managed shipments to ensure product availability for customers.
- Maintained current knowledge of customer purchasing behaviours.
- Greeted incoming customers and delivered immediate assistance.
- Assisted customers in enrolling in store loyalty programs and communicated key benefits.
Team Leader
Marks and Spencer's
Glasgow
2018.08 - 2019.06
- Led and directed employees, supervising activities to enhance productivity and efficiency.
- Ensured the store opened and closed on time.
- Managed staff logistics and day-to-day operations to optimise financial efficiency.
- Monitored stock levels closely, effectively managing inventories and logistics to maximise sales potential.
- Ensured compliance with quality, environmental, health, and safety regulations to maintain high standards.
- Encouraged team members by communicating goals and identifying areas for new training or skill assessments.
Sales Assistant
Swarovski
Glasgow
2017.09 - 2018.07
Education
LLB (Hons) Bachelor of Laws - Law
Glasgow Caledonian University
GlasgowSkills
- Effective Communication
- Team Work and Collaboration
- Critical-Thinking and Problem-Solving
- Personable
Certification
- Certified Anti-Money Laundering Specialist, ACAMS
- 2023
Additional info
- Gender: Female
- LinkedIn: www.linkedin.com/in/ellisemmerson
Timeline
ISG Central Risk Associate
Morgan Stanley
2025.02 - Current
Global Financial Crimes Analyst
Morgan Stanley
2022.07 - 2025.02
Operations Analyst
Morgan Stanley
2021.09 - 2022.07
Retail Sales Advisor
Molton Brown
2019.09 - 2021.09
Team Leader
Marks and Spencer's
2018.08 - 2019.06
Sales Assistant
Swarovski
2017.09 - 2018.07
LLB (Hons) Bachelor of Laws - Law
Glasgow Caledonian University