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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:
Review the client identification and related documents provided by Sales in accordance with the Client Identification Program. Ensure accurate CIP / KYC data entry in the Client Account Maintenance and Onboarding Tool. Review the Corporate Security background report for any additional CIP relevant information.
Process cases and deliver results with good quality in a timely manner to enhance the client onboarding experience. Communicate timely and effectively with Sales on missing documentation and inconsistent information.
Flag any concerns to AMT supervisors and escalate issues/exceptions to relevant function units for further discussion. Liaise with various stakeholders such as GFC, Compliance, and Sales/Branch Management as needed.
Proactively engage with stakeholders such as AMT onboarding team, Compliance and Operations to establish good relationships and keep abreast of latest standards and requirements.
Prepare status updates and management information. Contribute to process enhancement initiatives and update procedural documents as needed.