• Morgan Stanley
  • New York , NY
  • Financial Services - Banking/Investment/Finance
  • Full-Time
  • 21 Warren St

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Client Regulatory Services is a global group with offices in New York, London, Tokyo, Budapest, Hong Kong and India. The group operates within Shared Services Banking Operations (SSBO) and partners closely with the Legal and Compliance Division, Risk Management and Client and Account Data (CADO) to assist the Firms Sales and Trading to comply with regulatory obligations that involve data and documentation requirements.

The group provides Operational support to meet the firms Global KYC Policy requirements related to Customer Identification Program (CIP) and other regulatory data. It facilitates CIP when new clients are on-boarded and during ongoing periodic KYC reviews.


The position will support the Institutional Securities business and Private Wealth Management business in the Asia Pacific region. Responsibilities will include :

* Facilitate annual Risk Control Self-Assessment refresh for Client Regulatory Services
* Maintain a catalogue (inventory) of business processes, which ultimately lead to the creation of risks and controls
* Develop framework to capture new business processes and risks, which lead to the design and implementation of new controls within CRS
* Oversee remediation of all CRS Issues and Action Plan in Open Pages.
* Design escalation framework to raise new issues and log them into Open Pages
* Maintain inventory of RTB projects within CRS
* Provide support during Compliance Testing and Audits
* Work with management to assess the results of Audit/Testing reports and track issues and action plans to completion through the Open Pages framework
* Identify and remediate gaps with the existing CRS Quality program
* Establish and compile Key Risk Indicator metrics that indicate execution and effectiveness of Quality program
* Focus on quality improvement initiatives that strive to create a quality-conscious culture, decrease regulatory risk and error trends, and increase stakeholder satisfaction
* Leverage results of quality program to identify and address gaps in training program
* Contribute to the continuous improvement agenda by suggesting process and procedure improvements as well as training and communication opportunities discovered from the quality review process - Strong analytical and logical reasoning skills.
* Strong knowledge in producing metrics and presentations
* Strong attention to detail and research/investigative skills
* Ability to work independently and meet the business deadlines with accuracy
* Ability to work with multiple stakeholders across CRS
* Handle trouble shooting to mitigate risks associated with the business that we manage
* Ability to interact effectively with global colleagues (Hong Kong, Budapest, London, Tokyo and New York)
* Multi-tasking to handle various business demands
* Strong written and verbal English skills with clear and effective communication
* Ability to manage pressure and stressful business demands, including change and ambiguity

Experience required:

? 2- 5 years? of work experience

? Specific experience Risk & Controls

? Regulatory knowledge and capital markets knowledge preferred

Educational requirements:

Minimum Bachelor?s Degree

* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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