Registered Client Service Associate

711 MS Smith Barney, LLC; New York (NY); On-site; USD 34,320 - 90,000; Full time

Job summary

711 MS Smith Barney, LLC is seeking a Registered Service Associate in New York. This role involves operational support, document management, money movement functions, and assisting in audits. Candidates must have strong computer skills and relevant licenses (Series 7 and 66 or equivalents).

The expected salary for the position ranges from $34,320 to $90,000 per year. The role requires a detail-oriented individual who can thrive in a fast-paced environment and is also a team player.

Qualifications

• High School Diploma/Equivalency is required, college degree preferred.
• Must possess Series 7 and Series 66 or Series 63 and Series 65 licenses.

Responsibilities

• Manage documents, including quality reviews for accuracy and completeness.
• Perform basic money movement functions, such as check deposits and cash transactions.
• Support the Service and Risk Management team in audit preparedness.

Skills

Strong computer skills and knowledge of Microsoft Office products

Exceptional writing, interpersonal and client service skills

Detail oriented with superior organizational skills

Ability to work in a fast-paced, evolving environment

Team player with the ability to collaborate

Education

High School Diploma/Equivalency; College degree preferred

Job description

POSITION SUMMARY

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 Registered Service Associate must have the ability to resolve problems using all available resources and elevate 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 escalative service breaks to the management team
• Possibility of supervisory responsibilities to be delegated if supervisory licenses are held

• 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 AND/OR EXPERIENCE

High School Diploma/Equivalency; College degree preferred.

ACTIVE LICENSING

Series7 (GS) and Series66 (AG/RA) or Series63 (AG) and Series65 (RA) required. Willingness to obtain Series9 andSeries10 (SU) for delegation of supervisory functions.

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.
• Ability to work in a fast‑paced, evolving environment.

REPORTS TO

Service Manager.

COMPENSATION AND BENEFITS

Expected base pay rates for the role will be between $34,320 and $90,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long‑term incentive packages, and other Morgan Stanley sponsored benefit programs. 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).

EEO STATEMENT

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).