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Client Onboarding Specialist - Sydney

Morgan Stanley - Sydney, NSW

Banking & Finance
Source: uWorkin

Source: uWorkin


Client Onboarding Specialist - Sydney Client Onboarding Specialist - Sydney …

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Morgan Stanley
in Sydney, New South Wales, Australia

Permanent, Full time

Be the first to apply


Morgan Stanley
in Sydney, New South Wales, Australia

Permanent, Full time

Be the first to apply


Client Onboarding Specialist - Sydney

About The Company

Morgan Stanley Wealth Management is one of the largest wealth management firms in the world, helping our clients pursue their goals at every stage of life. Our commitment to our clients forms the bedrock of everything we do, from the importance we place on integrity to our dedication to individuals. We are dedicated to building, preserving and managing the wealth of our clients through exclusive access to the firm's vast resources.

Our Australian Wealth Management business services individuals, families and institutions investing in both domestic and international markets, including direct equity, fixed income and derivative investments, financial planning, margin lending and managed funds.

About The Team

Our Branch Management team is responsible for a wide variety of supervisory and business support functions. A client onboarding specialist will work closely with our Financial Advisers, Client Service Associates and management team as well as Legal, Compliance and Operations teams locally and globally to deliver an exceptional client onboarding experience; reviewing and processing new account documents, ensuring adherence to local and international AML/KYC standards, upholding regulator and firm policy.

About You

The successful candidate will ideally have a background in Client Service and client onboarding. A minimum of 2-3 years' experience in financial services is required for this role. A self-starter, who enjoys working in a team and is motivated by delivering high quality work.

Key Accountabilities

  • Review and approve client account documentation; understand and enforce current AML KYC requirements, ensuring proper due diligence to KYC rules for new client onboarding or updates to existing client static data
  • Process new account documentation and ensure that the account opening process satisfies the client's needs with exceptional service
  • Subject Matter Expert (SME) of the account opening process
  • Subject Matter Expert (SME) on AML/KYC standards and policies and key contact for related queries and initiatives
  • Liaise with Front Office staff, Operations, Management, Risk, Compliance and GFC/ AML to facilitate smooth onboarding process
  • Answer queries on all aspects of account onboarding, provide guidance to advisers and support staff on complex matters
  • Facilitate screening requirements and assess customers, to identify possible Money Laundering, Terrorist Financing, Tax Evasion and other risks
  • Develop a network of internal stakeholders to leverage in order to provide proactive solutions and/or answer complex queries for Clients, Financial Advisers and Client Service Associates
  • Proactively escalate issues to Management, Risk, Compliance, GFC/ AML, Front Office staff in a timely manner to minimise potential liabilities to the business; work collaboratively with the relevant teams for resolution
  • Participate and facilitate cross training as required, with particular focus on driving process consistency and knowledge share across locations
  • Share best practices and benchmarks across MSWM Australia branches and global counterparts
  • Proactively seek opportunities to improve processes, drive initiatives for improving efficiency and reducing risk
  • Involvement in ad-hoc projects and initiatives as requested by management

Key Competencies/ Skills

Technical/ Specialist Skills/ Experiences
  • At least 2-3 years' experience in the Australian and global securities markets, ideally with a client service, client onboarding or operations background
  • Knowledge and experience related to customer onboarding and current AML/KYC regulations
  • Good knowledge of Microsoft Office suite
  • Knowledge of Australian and International securities regulations and compliance requirements (including ASX Business Rules, Securities Clearing House Business Rules, Australian Clearing House Rules, Corporations Act, ASIC Policies, FINRA Regulations and FSA Regulations) is advantageous but not essential
Personal Attributes/Interpersonal Skills
  • A proactive nature, challenging and questioning process, seeking innovative solutions to improve efficiency and mitigate risk
  • Acute awareness of risk, with clear focus on control and timely escalation
  • Effective organizational skills; ability to work under pressure and prioritize tasks effectively
  • Excellent attention to detail
  • Excellent verbal and written English communication skills
  • Developed interpersonal, negotiation and relationship management skills, including dispute resolution and relationship building; ability to communicate at all levels
  • Self-motivated with demonstrated drive and initiative
Key Business Relationships


Branch Admin Managers, Risk Managers, State Managers, Front Office staff (FAs/CSAs), AML/GFC teams, Legal and Compliance, Internal Audit, IT, Operations globally & Locally.


Clients, Fund Managers, Share Registries, Custodians, Agent banks

Equal Opportunity Statement

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.