Client Information Control Associate

Position Description

Morgan Stanley is a global financial services firm and a market leader in investment banking, securities, investment management and wealth management services. With more than 1,300 offices in 42 countries, the people of Morgan Stanley are dedicated to providing our clients the finest thinking, products and services to help them achieve even the most challenging goals.

The Client Information Control (CLIC) Team is a group within Fixed Income Sales Management that is responsible for efficiently and effectively remediating client information to satisfy various regulatory and control requirements.  The group interacts frequently with clients as well as coordinating daily with multiple internal counterparts including Sales, Legal Compliance, Operations and the Enterprise Data and Services Group.  

We are looking for
Client Information Control Associates
for fixed term (12 months)
to our Budapest Office

The group's responsibilities include ensuring client issues are promptly raised, escalated and resolved in a timely manner; researching and analysing client information to resolve outstanding requests; reaching out to sales and clients to obtain necessary information/documentation to meet the Firm's regulatory requirements.  An understanding of regulatory requirements and our corresponding Firm policies is required.

The focus of this role is to work with sales teams and Morgan Stanley clients to gather and review the necessary information.  This role requires strong relationship management, organizational and communication skills in order to have a successful impact on the process.  The candidate should be able to exhibit strong analytical, problem solving and research skills and a legal and compliance background or related experience is preferable.

Primary Duties Responsibilities:
• Liaise with internal departments, European sales (based in London, Paris, Milan and Frankfurt) and clients across the EMEA region to obtain information/documentation required for the Global Rolling Review (driven by the GRR Team in Budapest)
• Work with Morgan Stanley teams on the Global Rolling Review and escalate unresolved cases directly to CLIC Team management
• Manage existing client relationships and effectively communicate regulatory requirements to clients and sales
• Possess an understanding of the Firm's Global Rolling Review policy and of the internal processes, procedures, reports and controls related to this policy
• Use standard templates to produce and distribute requests for required information and documentation
• Review information and documentation obtained and pass to other internal teams as required
• Provide status reports and escalate issues to Team Leader, as appropriate

Skills Required

• Experience in the financial industry or equivalent background is advantageous- preferably in a compliance, regulatory or client onboarding role
• Excellent written and spoken English with an ability to converse confidently by telephone and email
• Proven client relationship and organizational skills
• Self-motivated with an ability to work both independently and as a member of a team
• Outstanding attention to detail and analytical ability
• Ability to multi-task and meet tight deadlines
• Knowledge of Morgan Stanley clients and products and of the current regulatory environment
• Intermediate skills in Microsoft Office applications, particularly in Excel (including lookup functions)
• Bachelor degree or equivalent and relevant experience

Skills Desired

• Fluency in more than one language is an advantage (e.g. Russian, German, Italian, French)

July 27, 2013 • Tags: , • Posted in: Financial

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