Primary Duties and Responsibilities:* Liaise with Sales, clients and internal departments to obtain required information / documentation and explain the requirements where necessary * Possess an in-depth understanding of the Firm's Global Rolling Review policy and of the internal processes, procedures, reports and controls related to this policy * Possess an understanding of the Dodd Frank Act, FATCA and FINRA suitability requirements and the impact on Morgan Stanley information gathering requirements. * Use standard templates to produce and distribute requests to BU and clients for required information / documentation * Review information / documentation obtained and pass to other internal teams as required * Provide status reports and escalate issues to Team Leader, as appropriate * Refine processes and reporting used to facilitate the Client Information Control processExperience & Skills Required:* AML / client on boarding / client service experience * Previous regulatory project work advantageous * Familiarity with AML regulations an advantage * Excellent communication skills * Outstanding attention to detail and analytical ability * Able to work to tight deadlines * Ability to interact effectively with others across departments, regions and time zones * Skills in Microsoft Office applications, especially Excel and Access or equivalent The Client Service Team is a group within Institutional Securities that is responsible for efficiently enabling clients to transact with the bank. The group interacts directly with clients to ensure that we have all the information from them that we need to set them up on our platform and represents the interests of Sales to our internal account opening process stakeholders including, but not limited to, Credit Risk Management, Documentation, Enterprise Data, Operations, Compliance and Legal.Within the Client Service Team, Client Information Control is a newly formed group, responsible for ensuring that the bank has the necessary information and documents from our clients to satisfy various regulatory and control requirements. The team coordinates with internal counterparts including Compliance, Sales and various operational groups to ensure that client issues are promptly escalated, understood and resolved in a timely manner, so client business is not hindered or interrupted.The team's primary mandate is to contact clients to obtain information to refresh current client data requirements.
New regulations that require Morgan Stanley to obtain additional client information include: FATCA (Tax), FINRA Suitability and the Dodd Frank Act. In addition, the bank also has a Global Rolling Review program to remediation AML information about our existing clients.If you would like to apply for the role of Client Liaison- Sales and Trading Team Member or find out more, please apply online or contact Ben Temple-Mills at Robert Walters on ben.temple-mills@robertwalters.com or call +44(0) 207 509 8344 quoting the reference 1676960.
efinancialcareers.co.uk - 10 months ago
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