New Accounts & Compliance Specialist

Morgan Stanley; South Jordan (UT); On-site; USD 60,000 - 80,000; Full time

Benefits offered by this job

Competitive salary

Benefits package

Career development opportunities

Job summary

Morgan Stanley in Utah is seeking dedicated Accounts Team Specialists to ensure smooth processing of New Accounts and Account Modifications, reporting to the Regional Accounts Team Manager.

You will review requests, provide responsive internal partner service, and apply firm policies on account opening with KYC and CIP standards while staying current with SEC/FINRA guidelines to mitigate risk.

Qualifications

• FINRA Series 9/10 or Series 4 and 24 required.
• Excellent interpersonal and client service skills.
• Strong written and verbal communication skills.
• Ability to thrive in a dynamic and fast-paced environment.

Responsibilities

• Review and approve New Accounts and Account Modification requests.
• Provide exceptional customer service to internal partners.
• Research and resolve issues and deficiencies efficiently.
• Ensure timely follow-up and resolution of inquiries.
• Manage a high volume of requests in a fast-paced environment.
• Apply firm policies and procedures on account opening and maintenance, including KYC and CIP standards.
• Stay updated on SEC/FINRA, Compliance, and firm guidelines to ensure risk mitigation.
• Participate in projects and remediation efforts as needed.

Skills

Interpersonal skills

Client service

Written communication

Verbal communication

Tools

FINRA Series 9/10 and Series 4/24 licenses

Job description

Morgan Stanley in Utah is seeking dedicated Accounts Team Specialists to ensure smooth processing of New Accounts and Account Modifications, reporting to the Regional Accounts Team Manager.

You will review requests, provide responsive internal partner service, and apply firm policies on account opening with KYC and CIP standards while staying current with SEC/FINRA guidelines to mitigate risk.