【モルガン・スタンレーMUFG証券】Client Onboarding Regulatory Services, Operations - Associate
仕事内容
Core Responsibilities
- 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.)
- 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.
- Actively engage with Business, Risk, Compliance and Operations during the onboarding and KYC review starting from a request is received to completing a review.
- 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.
- 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) and process improvement initiatives such as technology enhancements, operational process review, and process simplification.
応募資格(必須経験など)
QUALIFICATIONS
Skills Required
- 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
- JSDA Internal Control Manager