Registered Service Associate

711 MS Smith Barney, LLC; Morristown (NJ); On-site; USD 31,200 - 90,000; Full time

Benefits offered by this job

Medical and dental insurance

401(k) retirement plan

Paid time off including sick and parental leave

Job summary

The 711 MS Smith Barney, LLC in Morristown, NJ is seeking a Registered Service Associate to perform operational support and oversight functions. This role involves daily tasks like document maintenance, money movement, and trade support while managing several operational projects.

The ideal candidate will have strong problem-solving abilities, exceptional interpersonal skills, and hold necessary FINRA licenses, including a Series 7. A competitive compensation range of $31,200 - $90,000 annually is available, along with a comprehensive benefits package.

Qualifications

• High School Diploma/Equivalency required, college degree preferred.
• Active Series 7 and Series 66 or equivalent are mandatory.
• Strong computer skills and familiarity with Microsoft Office are essential.

Responsibilities

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

Skills

Strong computer skills

Interpersonal skills

Client service skills

Detail oriented

Organizational skills

Team player

Education

High School Diploma/Equivalency (College degree preferred)

Active Series 7 (GS)

Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)

Tools

Microsoft Office

Job description

POSITION SUMMARY Registered Service Associates perform operational support and oversight on behalf of the market 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 escalates matters when necessary.

Responsibilities

• 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 Responsibilities

• 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, Experience, Knowledge, and Skills

• High School Diploma/Equivalency (College degree preferred).
• Active Series 7 (GS) and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) required.
• 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 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

Compensation and Benefits

• Salary range: $31,200 - $90,000 per year.
• Potential eligibility for an annual discretionary incentive compensation award and participation in the relevant business unit’s incentive compensation plan.
• Benefits include medical, prescription drug, dental, vision, health savings account, dependent day care savings account, life insurance, disability, paid time off (including sick leave, parental leave and vacation days), paid holidays, 401(k), and short/long‑term disability insurance.
• Additional perks such as paid holidays and access to employee resources.

Equal Opportunity Employer

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents. Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences. For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.