Senior Registered Service Associate

Morgan-Stanley; Louisville (KY); On-site; USD 60,000 - 85,000; Full time

Job summary

Morgan Stanley is seeking a Senior Registered Service Associate to provide operational support and oversight for the complex. The role emphasizes asset movement, trade support, document maintenance, and adherence to firm policies.

Ideal candidates will have active Series 7/66 or Series 63/65 licenses, five years of industry experience, and strong MS Office skills to support risk management and client service initiatives across the Louisville branch.

Qualifications

• High School diploma or equivalent; college degree preferred.
• ],

Responsibilities

• Perform asset movement reviews, issue checks, and approve cash/securities transactions.

Skills

MS Office

Client service

Attention to detail

Communication skills

Teamwork

Prioritization

Education

High School Diploma/Equivalency

College degree preferred

Series 7 & 66 license required

Series 63 & 65 license required

Job description

POSITION SUMMARYSenior 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 Senior Registered Service Associate must have the ability to resolve problems using all available resources and escalate matters as necessary.DUTIES and RESPONSIBILITIES:OPERATIONAL SUPPORT:Perform asset movement functions such as reviewing check and security deposits, issuing checks, and approving cash and securities transactionsResponsible for the ongoing maintenance and ensure accuracy and managerial execution of operational logsProcess trade adjustments and manual trade ticketsAssist Service Leadership in timely responses to operational alerts according to Firm policies and proceduresExecute actionable items upon review of delegated reports and requests to meet service level expectationsManage documents, including quality reviews for accuracy and completeness, scanning and electronic filingOversee and distribute incoming and outgoing mail, including opening, sorting, and distributing regular and/or overnight mail at multiple points throughout the daySupport the Service and Risk Management team in audit readiness and preparedness through ongoing monitoring of accounts and processes, engage in audit testing, and ensuring compliance with firm policies and regulatory requirementsIdentify and bring awareness to opportunities for Firm services and solutions that support clients’ needs including secure, digital offerings within Morgan Stanley Online and Morgan Stanley Mobile such as remote deposit capture features and electronic payment capabilitiesIdentify gaps within processes or procedures actioned within the branch and escalate to management teamRemedy and/or escalate service breaks to management teamIf supervisory licenses are held – Possibility of supervisory responsibilities to be delegatedOTHER:Assist with special projects (e.g., recruit onboarding support, Financial Advisor coverage, document retention)Maintain focus on evolving policy and platform changes, participating in new learning opportunities, peer sharing and cross-training opportunities, and conference calls as neededPerform various other administrative duties on behalf of the branch (e.g., telephone coverage, ordering supplies, facilities support, and assisting with client visits in a clerical capacity)Serve as a resource to sales, service, risk and Home Office partners on behalf of Service ManagersOrganize and track progress against operational remediation projectsEDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS:Education and/or ExperienceHigh School Diploma/EquivalencyCollege degree preferredActive Series 7 (GS) and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) requiredAt least 5 years of industry experience requiredDemonstrated strong performance in current role for the prior 2 years, if applicableKnowledge/SkillsStrong computer skills and knowledge of Microsoft Office productsExceptional written, interpersonal and client service skillsDetail oriented with superior organizational skills and ability to prioritize tasksTeam player with the ability to collaborate with othersAbility to work in a fast-paced, evolving environmentWillingness to obtain Series 9 and Series 10 (SU) for delegation of supervisory functionsReports to:Service ManagerWHAT 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.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 .