What are the responsibilities and job description for the SRU Accounts Team Specialist position at Morgan Stanley?
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.
The Accounts Team Specialist will work closely with all levels of field management to ensure brokerage New Accounts, Account Modifications, and Managed Account Inception/Modification activity (e.g., “Account Activity”) has been appropriately approved using various internal systems. An Accounts Team Specialist will report directly to the Accounts Team Manager.
The Accounts Team Specialist will interact with to resolve issues encountered during account review and approval processing.
Responsibilities:
• Review & approve the New Accounts, and Account Modification requests
• Provide world class customer service to both field facing and internal counterparts in all interactions
• Research and resolve problems and deficiencies in a timely manner.
• Meet appropriate timelines within expectations for requests from Regional Interface inquiries and follow up within that time frame.
• Ability to handle a high volume of requests in a fast-paced environment.
• Knowledge and use of Morgan Stanley systems.
• Apply firm policies and procedures on account opening and maintenance activity (e.g., “Know Your Client” (KYC), Client Identification Program (CIP), and account suitability standards).
• Keep current on SEC/FINRA, Compliance and firm guidelines and policy and procedure changes and apply to processing and all interaction to ensure risk mitigation
• Participate in projects and/or remediation efforts as needed including pilot programs
• Other duties as assigned
Qualifications
• Bachelor’s degree required or equivalent education or experience
• Series 7/63 (or 66) required
• Series 9/10 or 4/24/53 preferred, but would need to be obtained within 120 days of hire date if not already held
• 2 years of industry experience (broker/dealer risk experience is a plus) Knowledge / Skills
• Excellent interpersonal and client service skills
• Effective written and verbal communication skills
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).
