TK Operations, Client Data & Legal Entities Group Data Operations, Director

  • Competitive
  • Tokyo, Tokyo-to, Japan
  • Permanent, Full time
  • Morgan Stanley
  • 10 Dec 17 2017-12-10

See job description for details


Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

Description

The Legal Entities Group (LEG) is a global group within Morgan Stanley with offices in New York, Tokyo, Hong Kong and Budapest. The Legal Entities Group is responsible for conducting CIP (customer identification program)/KYC (Know Your Customer), collecting documents in relation to account opening and local regulatory requirements, and creating and maintaining reference data about Morgan Stanley's clients for the duration of the entire business relationship.

The Tokyo based team has additional responsibilities including (but not limited to); client data management and the client onboarding function where the primary responsibility will be coordinating Fixed Income Derivatives account opening.

Core Responsibilities

  • Review and respond appropriately to internal and external client inquiries related to CIP/KYC regulatory requirements
  • Collecting and checking client documentation
  • Dispatching/collection of regulatory-based documents (e.g. FIEL, MiFID Order Execution Policy)
  • Obtaining and verifying client data attributes
  • Ensuring client data are up-to-date and correct in Morgan Stanley systems
  • Performing analysis and providing data for projects, especially surrounding regulatory changes (e.g. FATCA, MyNumber, CRS, MiFID)


*LI-DT1


Qualifications:



Qualifications

Skills Required

  • Proactive, analytical and problem solving skills. Problem structuring, analyses, and recommending solutions
  • Judgment in when to escalate issues and taking charge as needed to prevent/minimize the impact
  • Multi-task and task prioritization
  • Outstanding attention to detail
  • Ability to work independently and in a multicultural team
  • JSDA Level 1/2
  • Intermediate to advanced MS Office Applications (especially in PowerPoint, Excel)
  • Bachelor's degree
  • Project management and process enhancement/improvement experiences
  • Relevant professional experiences, such as client onboarding, client services and securities operations functions
  • Familiarity with Japan and Global regulations (e.g. CIP/KYC, FIEL, MIFID, FATCA, etc.)
  • JSDA Internal Control Manager
  • Relevant professional experiences, such as client onboarding, client services and securities operations functions
  • Familiarity with Japan and Global regulations (e.g. CIP/KYC, FIEL, MIFID, FATCA, etc.)
  • JSDA Internal Control Manager


Skills Desired

  • Project management and process enhancement/improvement experiences
  • Relevant professional experiences, such as client onboarding, client services and securities operations functions
  • Familiarity with Japan and Global regulations (e.g. CIP/KYC, FIEL, MIFID, FATCA, etc.)
  • JSDA Internal Control Manager