Registered Client Service Associate

Aplaro Ltd; New York (NY); On-site; USD 34,320 - 90,000; Full time

Job summary

Morgan Stanley in New York, NY seeks a Registered Service Associate to provide operational support and branch oversight. Responsibilities include document maintenance, money movement, trade support, and various approvals.

The role supports risk management and client service teams while ensuring compliance with policies and regulatory requirements. Expected base pay ranges from $34,320 to $90,000 per year, with additional compensation possible through bonuses, commissions, and incentives.

Qualifications

• High School Diploma/Equivalency; college degree preferred.
• Active Series 7 (GS) and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA).
• Strong computer skills and Microsoft Office products.
• Exceptional writing, interpersonal and client service skills.
• Detail oriented with superior organizational skills and ability to prioritize tasks; team player.
• Ability to work in a fast-paced, evolving environment.
• Willingness to obtain Series 9 and Series 10 for delegation of supervisory functions.

Responsibilities

• Manage documents with quality reviews for accuracy and completeness.
• Oversee and distribute incoming and outgoing mail at multiple points throughout the day.
• Perform basic money movement functions including deposits and checks.
• Assist with processing of trade adjustments and operational alerts.
• Execute actionable items from delegated reports to meet SLAs.
• Support audit preparedness through ongoing monitoring of accounts and processes.
• Remedy and/or elevate service breaks to management.
• If supervisory licenses are held – possible supervisory responsibilities.
• Assist with special projects (e.g., recruit onboarding support).
• Identify services and digital offerings supporting clients’ needs, incl. Morgan Stanley Online and Mobile.
• Maintain focus on evolving policy and platform changes, training, and calls.

Skills

Writing skills

Interpersonal skills

Client service

Detail oriented

Organizational skills

Team player

Fast-paced environment

Education

High School Diploma or equivalent

College degree preferred

Series 7 & 66 or 63 & 65 licenses

Tools

Microsoft Office

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 elevate service breaks to management team
• If supervisory licenses are held – Possibility of supervisory responsibilities to be delegated

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 Series 7 (GS) and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)
• 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 tasksTeam 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

Reports To: Service Manager

WHAT YOU CAN EXPECT FROM MORGAN STANLEY

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.

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, rel