Registered Service Associate
Position Summary
Registered Service Associates perform operational support and oversight on behalf of the market as well
as general management support functions and special projects. The role is responsible for daily
functions such as document maintenance, money movement, trade support and various approvals. The
Registered Service Associate must have the ability to resolve problems using all available resources and
escalate matters, as necessary.
DUTIES And RESPONSIBILITIES
OPERATIONAL SUPPORT
Manage documents, including quality reviews for accuracy and completeness, scanning and electronic filing
Oversee and distribute incoming and outgoing mail, including opening, sorting, time stamping and distributing regular and/or overnight mail at multiple points throughout the day
Perform basic money movement functions such as check deposits, issuing checks and cash and securities transaction approvals
Assist with processing of trade adjustments and responding to operational alerts
Execute actionable items upon review of delegated reports and requests to meet service level expectations in a timely manner
Support the Service and Risk Management team in audit preparedness through ongoing monitoring of accounts and processes, ensuring compliance with firm policies and regulatory requirements
Remedy and/or escalate service breaks to management team
If supervisory licenses are held Possibility of supervisory responsibilities to be delegated
Other
Assist with special projects (e.g., recruit onboarding support)
Identify Firm services and solutions that support clients needs including secure, digital offerings like Morgan Stanley Online and Morgan Stanley Mobile including remote deposit capture features
Maintain focus on evolving policy and platform changes, participating in training opportunities and conference calls as needed
Perform various other administrative duties on behalf of the branch (e.g., telephone coverage, ordering supplies, facilities support)
Serve as a resource to sales, service, risk and Home Office partners on behalf of Service Managers
Organize and track progress against operational remediation projects
EDUCATION, EXPERIENCE, KNOWLEDGE, And SKILLS
Education and/or Experience
High School Diploma/Equivalency
College degree preferred
Active Series 7 (GS) and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) required
Knowledge/Skills
Strong computer skills and knowledge of Microsoft Office products
Exceptional writing, interpersonal and client service skills
Detail oriented with superior organizational skills and ability to prioritize tasks
Team player with the ability to collaborate with others
Ability to work in a fast-paced, evolving environment
Willingness to obtain Series 9 and Series 10 (SU) for delegation of supervisory functions
Reports to
Service Manager
What You Can Expect From Morgan Stanley
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, youll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.
We're committed to bringing passion and customer focus to the business.
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, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).
Apply Now
Registered Service Associates perform operational support and oversight on behalf of the market as well
as general management support functions and special projects. The role is responsible for daily
functions such as document maintenance, money movement, trade support and various approvals. The
Registered Service Associate must have the ability to resolve problems using all available resources and
escalate matters, as necessary.
DUTIES And RESPONSIBILITIES
OPERATIONAL SUPPORT
Manage documents, including quality reviews for accuracy and completeness, scanning and electronic filing
Oversee and distribute incoming and outgoing mail, including opening, sorting, time stamping and distributing regular and/or overnight mail at multiple points throughout the day
Perform basic money movement functions such as check deposits, issuing checks and cash and securities transaction approvals
Assist with processing of trade adjustments and responding to operational alerts
Execute actionable items upon review of delegated reports and requests to meet service level expectations in a timely manner
Support the Service and Risk Management team in audit preparedness through ongoing monitoring of accounts and processes, ensuring compliance with firm policies and regulatory requirements
Remedy and/or escalate service breaks to management team
If supervisory licenses are held Possibility of supervisory responsibilities to be delegated
Other
Assist with special projects (e.g., recruit onboarding support)
Identify Firm services and solutions that support clients needs including secure, digital offerings like Morgan Stanley Online and Morgan Stanley Mobile including remote deposit capture features
Maintain focus on evolving policy and platform changes, participating in training opportunities and conference calls as needed
Perform various other administrative duties on behalf of the branch (e.g., telephone coverage, ordering supplies, facilities support)
Serve as a resource to sales, service, risk and Home Office partners on behalf of Service Managers
Organize and track progress against operational remediation projects
EDUCATION, EXPERIENCE, KNOWLEDGE, And SKILLS
Education and/or Experience
High School Diploma/Equivalency
College degree preferred
Active Series 7 (GS) and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) required
Knowledge/Skills
Strong computer skills and knowledge of Microsoft Office products
Exceptional writing, interpersonal and client service skills
Detail oriented with superior organizational skills and ability to prioritize tasks
Team player with the ability to collaborate with others
Ability to work in a fast-paced, evolving environment
Willingness to obtain Series 9 and Series 10 (SU) for delegation of supervisory functions
Reports to
Service Manager
What You Can Expect From Morgan Stanley
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, youll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.
We're committed to bringing passion and customer focus to the business.
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, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).
Apply Now