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Client Service Associate (Cantonese Speaking)

Morgan Stanley - Sydney, NSW

Banking & Finance
Source: uWorkin


Client Service Associate (Cantonese Speaking)

Job Number:


POSTING DATE: Jun 2, 2021
PRIMARY LOCATION: Non-Japan Asia-Australia-New South Wales-Sydney
JOB: Wealth Management
JOB LEVEL: Associate


About The Company

Morgan Stanley is a global financial services firm and a market leader in investment banking, securities, investment management and wealth management services. With offices in more than 43 countries the people of Morgan Stanley are dedicated to providing our clients the finest thinking, product and services to help them achieve even the most challenging goals.

About The Role

The primary responsibility of the Client Service Associate is to work as part of a team managing all administrative aspects of The Asia Practice in a high volume, time critical environment. To be successful in this role you will need to demonstrate knowledge of the financial advice process, financial markets and product and industry trends. You will need to have a high attention to detail and should be able to prioritize your work accordingly and work well under pressure. The role will include direct contact with clients to ensure issues/queries are being addressed in a timely manner.
This role will deal specifically with Chinese clients therefore the successful candidate will need to be fluent in English, Cantonese & Mandarin.

Key Responsibilities:

  • Facilitation of all administrative client queries
  • Client on-boarding, including preparation of account documentation, creation of client record in MSWM systems and other platforms including BT
  • Arrange and assist with maintenance of client account and records, in line with current AML/CTF, KYC Regulations,
  • Ensuring all accounts adhere to the firm’s legal and regulatory obligations and observe the firms compliance procedures.
  • Assist to manage The Asia Practice clients high risk rolling review paperwork
  • IPO and corporate action allocation management
  • Preparation of client valuations, asset allocations and generating investment reports as required
  • Assist in client asset transfers, including cash, both domestically and internationally
  • Process and monitor stock settlements, including follow up with clients regarding outstanding funds
  • Assist to manage the quarterly dividends and distribution reinvestments
  • Trade execution (when accredited)
  • Assist with logistics and planning for The Asia Practice’s client events
  • Provide ad hoc translation for marketing purposes
  • Establish and maintain relationships with other internal stakeholders and departments
  • Participate in department cross-training as required
  • Participate in process development initiatives to increase efficiencies
  • Proactively notify client/s and FA/s of any issues recommending a solution and timeframe
  • Comply with the ethical standards contained within the Company Code of Conduct.
  • Adhere to Company policies and procedures, regulatory and legislative requirements.
  • Understand US and UK tax forms like W8BEN and CRS (preferable)
  • Understand Opt In, FDS and Client Consent (i.e. FOFA) forms (preferable)


Key Competencies:

Technical/Specialist skills/Competencies

  • High attention to detail
  • Strong literacy and numeracy ability
  • Strong organizational skills
  • Good knowledge of Microsoft Office Suite
  • Solid background in financial advice process, markets and industry

Personal Attributes/Interpersonal Skills

  • Excellent communication skills both verbal and written
  • Fluent in written and spoken Mandarin & Cantonese
  • Display a high level of resilience and strong ability to prioritize tasks
  • Strong decision making ability
  • Goal-oriented with demonstrated drive and initiative

Key Requirements:

Qualifications / Experience Required

  • Undergraduate degree in Finance, Commerce, Accounting or Business essential
  • CPA or CA qualifications preferred
  • Recognised industry studies preferred (including RG146, Series 7) – if not held already a requirement to study towards
  • Experience in Accounting, Risk, Audit or Compliance
  • Experience within wealth management, financial planning or professional services

Equal Opportunity Statement

Morgan Stanley’s goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.
It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, gender, gender identity or expression, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy (including unlawful discrimination on the basis of a legally protected pregnancy/maternity leave), veteran status, genetic information, or any other characteristic protected by law.
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce.