Morgan Stanley

About the Firm

Morgan Stanley (NYSE: MS) is a leading global financial services firm providing investment banking, securities, wealth management and investment management services. With offices in more than 41 countries, the Firm's employees serve clients worldwide including corporations, governments, institutions and individuals.

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.

About the Role

The Client Onboarding Regulatory Data Services (CORDS) is a global operations group. The team is responsible for providing regulatory support including but not limited to KYC (Know Your Customer) due diligence, FIEL, and MiFID II on new and existing clients, client onboarding function for the Fixed Income Derivatives business (FX, Swaps, etc.) and Clearing Derivatives business (Listed Derivatives and OTC Clearing) and creating and maintaining reference data about Morgan Stanley's clients for the duration of the entire business relationship.

CORDS have a global footprint with offices in Hong Kong, Bangalore, London, Baltimore and New York.

Key Responsibilities

• Perform Client Due Diligence review in support of the Firm's new client onboarding and existing client in accordance with the applicable regulatory program requirements such as JP KYC, UK KYC, MiFID II, FIEL.
• Ensure our clients are on-boarded smoothly and the firm meets various regulatory demands for derivative-based regulations (e.g., Dodd Frank, EMIR, UMR, QFC etc.).
• Handle inquiries appropriately to internal and external client.
• Actively engage with Business, Risk, Compliance and Operations during the onboarding and KYC review starting from a request is received to completing a review.
• Verify and update firm systems and databases with information and documentation obtained from clients ensuring client data are up-to-date and correct.
• Participate in projects surrounding regulatory changes (e.g. KYC, FIEL, DoddFrank, EMIR, MyNumber) and process improvement initiatives such as technology enhancements, operational process review, and process simplification.
• Review and respond appropriately to internal and external client inquiries related to onboarding of derivatives clients and collect the data and document required for onboarding.

Qualifications, Skills & Requirements

• 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

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, FIEL, MIFID, FATCA, etc.)
• JSDA Internal Control Manager.

Why Morgan Stanley?

• A career with Morgan Stanley means being part of an inclusive culture that encourages diverse perspectives, innovation, and cross-collaboration to bring value to our clients. You'll find passionate people from all walks of life working together to make the world a little better every day.
• We invest in the growth and success of our people through mentorship and development programs, as well as abundant opportunities to connect with peers and senior leaders through employee-driven networks and volunteer activities.
• Your wellness and priorities outside of work are important to us. Our competitive compensation and benefits package is designed to support the diverse needs of our employees and take care of you and your family.
• Morgan Stanley is an equal opportunity employer. Our goal is to build and support a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. We are committed to support special needs or reasonable accommodations necessary to enable you to work comfortably and effectively.
• Discover our Japan Offerings: https://www.morganstanley.co.jp/ja/people/working-at-morgan-stanley
• Discover our Global Offerings: https://www.morganstanley.com/people/experienced-professionals

Our Commitment to Japan

Everything we do at Morgan Stanley is guided by our five core values: do the right thing, put clients first, lead with exceptional ideas, commit to diversity and inclusion, and give back. Since opening a representative office in Tokyo in 1970, we have been one of the largest and most active foreign financial firms in Japan providing investment banking, sales & trading, real estate, and investment management services.

Our People (English): https://www.morganstanley.com/articles/who-we-are

Our People (Japanese): https://www.morganstanley.co.jp/ja/people

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.