Morgan Stanley

PWM Asia, Document Team Manager, Hong Kong – Manager/Senior Manager

Morgan Stanley
Full Time
Junior (less than 3 years)
English, Cantonese, Mandarin (Putonghua)

Job Description

PWM Asia, Document Team Manager, Hong Kong – Manager/Senior Manager

Location: Non-Japan Asia-Hong Kong-Hong Kong-Hong Kong

Morgan Stanley Private Wealth Management provides highly customized financial advice, investment solutions and brokerage services to individuals, families and foundations.
As Morgan Stanley’s premier service for individuals and families with significant means, we specialize in providing our clients with custom-tailored financial solutions and a level of sophistication and access to expertise and investments typically reserved for large corporations, financial institutions and governments.
This position lies within the Branch Administration Management (BAM) team, who is responsible for ensuring that  account opening documentation and information comply with the firm global standards and any additional local regulatory requirements stipulated by Compliance.
Responsibilities include but not limited to:
• Review and approval of new accounts
• Conduct proper due diligence in opening of new accounts
• Ongoing maintenance of accounts via periodic reviews
• Highlight or flag any high risk accounts to AML/Compliance and Business manager for further review and discussion; conduct Enhanced Due Diligence where necessary
• Review and approve the opening of sub accounts
• Follow-up with Sales team on any missing documentation
• Manage the process of mass mailing as and when required
• Archive documents periodically
• Review and approve Credit Applications for all relevant information
• Senior mentor to junior members of Documentation Team
• Continuous active engagement with Sales team to share and educate KYC and AML related guidance/learning points, with the objective to improve the standard and quality of KYC and client due diligence across PWMAct as subject matter expert on account opening


• Fluent in both spoken and written English and Chinese (Cantonese / Mandarin)
• Excellent verbal and written communication skills
• Must have good analytical and follow-up skills
• Organized and detail-orientated
• Self-motivated and enthusiastic
• Able to work independently and part of a team
• Ability to influence others at all levels
Education and/or Experience:
• Bachelor’s degree required or equivalent education or experience
• 5-8 years plus relevant working experience in the financial services industry. Candidates with less experience will be considered for the position of Manager

Technical Skills

  • Anti Money Laundering (AML)
  • Due Diligence
  • Financial Advising
  • Know Your Customer (KYC)
  • Wealth Management