Client Operations Specialist (AVP) – Institutional Securities Group Product Operations

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  • Post Date : September 16, 2020
  • Apply Before : October 16, 2020
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Job Description

Client Operations Specialist (AVP) – Institutional Securities Group Product Operations

Job Number:


POSTING DATE: Sep 14, 2020
PRIMARY LOCATION: Americas-United States of America-New York-New York
EDUCATION LEVEL: Bachelor’s Degree
JOB: Other
JOB LEVEL: Director


Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

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.

One of the largest divisions in the Firm, Operations is the first line of defense for Morgan Stanley’s financial and reputational well-being and essential in delivering value to our clients. Operations is responsible for correctly settling and recording millions of transactions per day, identifying and mitigating operational risk, developing strong client relationships and partnering with technology to realize the full potential of IT and Automation. Operations has a world-class team of innovative and dedicated professionals, with a unique vantage point in the Firm interacting with all parts of the business, front to back.

The Operations Senior Management team are passionate about our people development and providing best in class employee opportunities through an inclusive, forward-looking environment defined by open communication, collaboration, learning, and proactive career management.

Institutional Securities Group Product Operations (ISGPO) partners closely with Sales & Trading and our Clients to process daily activities, develop and implement new products and services, as well as drive efficiency and reduce risk in our processes.

The Client Onboarding team supports all product and functional areas directly and indirectly impacted by new and organic account openings related to the following divisions IED and FID, OTC Clearing and Listed Derivatives products (excluding PB). Onboarding represents the client’s interests to internal counterparts, including, but not limited to Credit Risk, Counterparty Risk, Documentation and Legal. As the central point of contact for the client away from their Sales coverage, Onboarding ensures any client issues are promptly surfaced, escalated, and resolved in a timely manner. This position requires very strong relationship management, organizational and communication skills in order to have a successful commercial impact on the process. In addition, knowledge about the Firm’s products and services is of paramount importance to draw the client closer to Morgan Stanley.

The Client Onboarding Group is responsible for establishing and implementing procedures and controls related to account opening as well as identifying opportunities to streamline the Onboarding process. The team works to enhance current technology in order to effectively capture and manage client relationship information and reference data.


  • Project/Relationship Management: Act as clients main point of contact pre-trade execution. Responsible for onboarding organic clients, ensuring that all documents are received, accounts, reports and entitlements are set up prior to the client’s scheduled launch date. Work with BU and clients to help prioritize accounts. Stepping in to move the process forward, as required.
  • Single Point of Contact & Escalation for Clients & Internally: Reduce multiple touch points and entry points into the firm. Knows the client, can have the difficult conversations, correct contacts to get what we need to ensure the client is appropriately set up. Ensures any client issues are promptly surfaced, escalated, and resolved in a timely manner
  • Subject Matter Expert: Know and understand entity structures, regulatory requirements, jurisdictions, and our own process flow. Collaboration with Business Units and IT to identify, drive and implement process improvements and technology solutions
  • Provides Value Added Education: Proactive regulatory discussions in relation to On-Boarding (FINRA 2111, FINRA 4210, deemed ISDA etc)


  • Bachelor’s degree required
  • 5+ years of experience in financial industry within onboarding and/or operational related roles
  • Technical understanding of transaction life-cycle in one or more asset classes (Equity & FI Cash, Rates, Credit and Equity OTC Derivatives, OTC Clearing, Listed Derivatives, FX, Loans, Sec Lending, Commodities)
  • Very strong interpersonal and communication skills with the ability to deal with Sales and Trading, all levels of the client organization and representatives from Morgan Stanley infrastructure teams
  • Client facing experience & ability to manage expectations effectively
  • Proven experience with external institutional client communication and interaction
  • Exceptional problem solving ability.
  • Exceptional organizational skills.
  • Strong listening and verbal/written communications
  • Strong presentation skills
  • Ability to independently navigate the Morgan Stanley organization
  • Ability to work within a quickly changing environment and remain composed under pressure.
  • Conceptual understanding of Pre & Post Execution Onboarding process across various products (Legal, Credit, Docs, NMR, Compliance etc.)
  • Ability to work as part of a team and adapt to the needs of the team as they arise.
  • College/University degree or equivalent with a business focus and relevant/proven experience.

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