Vice President, Client Regulatory Services KYC Services Team Vice President, Client Regulatory Services KYC  …

Morgan Stanley
in Hong Kong
Permanent, Full time
Last application, 26 Oct 20
Competitive
Morgan Stanley
in Hong Kong
Permanent, Full time
Last application, 26 Oct 20
Competitive
Vice President, Client Regulatory Services KYC Services Team

Department Profile

Operations is one of the largest divisions in the firm and has diverse responsibilities, including correctly settling and recording millions of transactions per day, identifying and mitigating all operational risks, developing strong client relationships and partnering with technology to realize the full potential of IT and e-solutions. Throughout, the Operations department continually seeks ways to improve while actively supporting the development of new businesses, structures and markets.

Team Profile

Client Regulatory Services (CRS) is an Operations function within Shared Services and Banking Operations (SSBO) and is responsible for regulatory client onboarding, refresh and screening. KYC Regulatory Refresh is the CRS team that supports the ongoing review of clients by performing regulatory due diligence and collecting data and documents required to satisfy KYC/AML requirements in multiple jurisdictions globally.

The KYC Services team is responsible for managing the escalations related to refresh program. The team partners closely with Non Market Risk, Sales, Global Financial Crimes, Legal and Compliance, and the KYC Refresh team to contribute to the success of the Regulatory Refresh program.

Morgan Stanley is seeking a VP / Senior Operations Specialist for the KYC Services team in Hong Kong.

Key stakeholders are our Fixed Income & Commodities, International Equities & Prime Brokerage and Wealth Management businesses

Role Responsibilities:

- Monitor and manage overall team volume, risk, capacity, and metrics for KYC Refresh
- Manage a team of 2 to 4 individuals as they carry out their daily escalation role across numerous products
- Serve as an escalation point internally and externally for the region
- Ensure client engagement and sales engagement for all entities to avoid missing target deadlines
- Ensure that all escalation calls and reports are executed timely and accurately
- Manage a client contact framework for sourcing and validating contacts to ensure outreach is performed efficiently
- Coordinate process improvements and complex issue resolution by partnering with NMR, Global Financial Crimes (GFC), KYC management, program management, and other Operations teams
- Regularly discuss progress/ challenges and overall program status with each NMR within the region
- Represent the team at Working Groups and Steering Committee meetings, providing progress updates
- Manage relationships with external vendors, ensuring targets are met and issues/ escalations quickly resolved


Qualifications:


Qualifications:

- Exceptional problem solving skills, ability to independently assess and identify plans for resolution
- Exceptional organizational skills, ability to multi-task and prioritize time accordingly
- Strong interpersonal and communication skills
- Client relationship skills and experience in communicating with external clients
- Excellent Microsoft office skills required, specifically Microsoft Excel (v-lookup, pivot tables), PowerPoint
- Strong ability to manage large data sets in order to analyze project trackers and metrics
- Ability to work as part of a team in a fast paced environment and adapt to the needs of the team as they arise
- AML, client onboarding, or client reference data experience desired
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