Operations - Wealth Management Client Onboarding & Periodic Review KYC Functions, Vice President
Morgan Stanley
Hong Kong, Hong Kong, Hong Kong
10天前

Description

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.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic.

Morgan Stanley can provide a superior foundation for building a professional career a place for people to learn, to achieve and grow.

A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.The Legal Entities Group Data Operations (LEGDO) is a global group with offices in New York, London, Hong Kong, Tokyo, Budapest, and Bangalore.

LEGDO operates within the Data Operations of Shared Services Banking Operations ("SSBO"). LEGDO support Institutional Securities and Wealth Management business in Asia Pacific, with main responsibilities including : -

Identify and execute operational efficiency initiatives, which may involve technology enhancement, process automation, and process streamline.

  • Partner closely with Legal & Compliance Division, Business Risk Management teams, Client Onboarding Teams, Client Reference Data Operations, and Technology during the delivery of our core processes.
  • We are hiring a Vice President to manage the LEGDO team that supports the Asia Wealth Management business. The position is based in Hong Kong and reports into the Asia Head of LEGDO.

    The position manages team members situated in Hong Kong, and functionally the process performed out of Bangalore. Main duties of this position : -

    Performs people management responsibility for the LEGDO Wealth Management team, which includes delivering functional training to the team, conducting career conversations, providing career development guidance, providing performance feedback and regular performance review conversations.

  • Perform supervisory functions, including active management of volumes, incoming business requests, team work allocation, conducts data / process quality checks to ensure the team?
  • s work meets accuracy and timeliness standards, identify knowledge gaps among the team and resolve.- Responsible for operational control functions including quality checks, metrics and escalation reportingEstablish effective working relationships with key stakeholders, including PWM business contacts, Compliance, Global Financial Crime Compliance and Technology teams.

  • Participate and handle change initiatives e.g. regulatory change, new business and / or technology project. Represent LEGDO in such initiatives;
  • actively participate in understanding business problem, creating solutions, and responsible for implementation. - Manage audits and reviews, including internal audit, external regulatory inquiries, external audit and internal compliance testing.

  • Act as the point of escalation for the team in handling complicated client cases or other operational matters by facing off business and compliance.
  • Qualifications

  • Bachelors Degree- Minimum of 10 years in people management and team management, preferably managing cross-location teams-
  • Effective problem solving skills & ability to multi-task in meeting business demands which may be urgent and tight deadline-

    Strong risk & control mindset working in Operation by identifying risk in the operational process and working with team and stakeholders in mitigating the risk-

    Ability to communicate and interact effectively with Business Units and Compliance- Ability to communicate and interact effectively with global colleagues (Budapest, London, Tokyo and New York)-

    Experience in performing or managing client onboarding function or KYC processes are preferred- Cantonese, Mandarin or other language in Asia skills are preferred (both written and verbal)

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