Registered Service Associate - Great Lakes

Morgan Stanley Indianapolis , IN 46218

Posted 8 months ago

POSITION SUMMARY:

The Registered Service Associate enhances the client experience and must maintain a high level of client service and branch support. The role is responsible for daily operations, and identifying and anticipating client, Financial Advisor and branch needs. The Registered Service Associate must have the ability to resolve problems using all available resources and escalate matters as necessary. In order to perform daily business practices, the Registered Service Associate is required to have passed FINRA's Securities Industry Essentials (SIE) Exam and have active Series 7 and 66 (or 63 and 65) Licenses, which would either be held fully or partially at the time of hire or be obtained through a required study program within the initial months of employment and as a requirement of continued employment.

DUTIES and RESPONSIBILITIES:

  • Serve as a resource to Financial Advisors, Support Professionals, and clients

  • Act as a liaison between the branches and service departments

  • Review client activity for digital and self-service opportunities

  • Monitor specific delegated reports and requests and execute on actionable items to meet service level expectations in a timely manner

  • Assist with Firm remediation and audit related projects

  • Review money movement and deposits and escalate issues to management as necessary

  • Prepare and process trade corrections, and maintain necessary records for compliance

  • Review documents for accuracy and completeness prior to scanning or distribution

  • Oversee and distribute incoming and outgoing mail

  • Proactively participate in firm initiatives directed by local management

  • Actively engage in available training and education programs to maintain current status on policies, procedures and risk awareness

  • Perform administrative duties that support daily branch operations, including but not limited to, telephone coverage and document maintenance

Education and/or Experience

  • High School Diploma/Equivalency

  • College degree preferred

  • Active SIE, Series 7, 66 (or 63 and 65) held at time of hire or obtained within initial months of employment

Knowledge/Skills

  • Strong computer skills and knowledge of Microsoft Office products

  • Exceptional interpersonal and client service skills

  • Detail orientated with superior organizational skills and ability to prioritize workflow

  • Team player with the ability to collaborate with others

Reports To:

  • Business Service Manager or Complex Business Service Officer

Morgan Stanley

EOE committed to diversifying its workforce.

M/F/D/V.


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Registered Service Associate - Great Lakes

Morgan Stanley