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Morgan Stanley Private Wealth Management provides highly customized financial advice, investment solutions and brokerage services to individuals, families and foundations. As Morgan Stanley's premier service for individuals and families with significant means, we specialize in providing our clients with custom‐tailored financial solutions and a level of sophistication and access to expertise and investments typically reserved for large corporations, financial institutions and governments.
Within Private Wealth Management the Account Management Team has three distinct functions. Client Account opening, Client Account Maintenance and Periodic Review. This position lies within the Client Account Maintenance Team who are responsible for ensuring that client accounts are maintained and comply with the Firm's global standards and local regulatory requirements stipulated by Compliance.
Responsibilities include but not limited to:
Perform the Account Change Request process including maker / checker role to ensure that all changes are processed in adherence to the policy and procedures in a timely manner.
Perform Periodic Review including maker/checker role to ensure the review is processed in adherence to the periodic review procedure in a timely manner.
Manage numerous regular review cycles such as Investment Profile Questionnaire (IPQ), Single Counterparty Grouping (SCG) and Insider Declaration.
Identify any gap/deficiency in workflows, procedures and systems and assist in implementing and monitoring the control effectiveness and efficiency.
Support manager by taking on supervisory work including monitoring the status and deadline of BAU tasks so to provide satisfied client experience and adherence to regulations.
Assist with internal (Internal audit, & Compliance) and external audits and perform investigations and remediation.
Follow‐up with Sales team on any missing documentation and handle their daily queries
Review and approve Credit Applications for all relevant information.
Fluent in both spoken and written English and Chinese (Mandarin)
Excellent verbal and written communication skills
Must have good analytical and follow‐up skills
Organized and detail‐oriented
Ability to influence others at all levels
Education and/or Experience:
Bachelor's degree required or equivalent education or experience
At least 4 years professional experience in the Banking section ideally in CIP (Client Identification Program), AML or client onboarding.
Candidates with less experience will be considered for the position of Associate