Sr. Registered Client Service Associate

Morgan Stanley•The Woodlands, TX

About The Position

Senior Registered Service Associates perform operational support and oversight on behalf of the Complex 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 Senior Registered Service Associate must have the ability to resolve problems using all available resources and escalate matters as necessary.

Requirements

High School Diploma/Equivalency
Active Series 7 (GS) and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) required
At least 5 years of industry experience required
Demonstrated strong performance in current role for the prior 2 years, if applicable
Strong computer skills and knowledge of Microsoft Office products
Exceptional written, 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

Nice To Haves

College degree preferred

Responsibilities

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
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