Luke Lee

Vice President, Risk & Sustainability

2018 - Current

Vice President Global KYC Operations & Client Onboarding

2014 - 2018

Wholesale Client On-boarding Manager

2013 - 2014

Managing a team of 16 individuals (FTE & FTC's) supporting the On-boarding, KYC and AML function for Global Corporate Bank (Lending), Global Emerging Markets (Fixed Income, FX, Repos, Derivatives) and Investment Banking (IPO, M&A, ECM, DCM and ALF products). My team is responsible for the end to end onboarding process from client initiation, solicitation of credit approvals/facility set-up, completion of KYC, to hand-offs to Compliance, Legal, and Product/Account Set-up.

Investment Banking Business Manager

2010 - 2012

Professional Associate Managing the Know Your Client (KYC), Client Approvals and Document Depository for GCM & M&A transactions across EMEA - During my time at Morgan Stanley I have accumulated experience in risk and control management in and across personal, commercial and investment banking operations. I work closely with the Risk Management, Operations, Anti-Money Laundering, Legal & Compliance and Corporate Securities teams to ensure that each IBD/GCM mandate is appropriately considered from an AML/OFAC/FCPA & Franchise Risk perspective.

Regulatory Documentation Intern

2008 - 2008

Review of new client documentation to satisfy the firm's regional Customer Identification Programme requirements for Private Wealth Management.