Senior Registered Service Associate

PowerToFly; Louisville (KY); On-site; USD 65,000 - 90,000; Full time

Job summary

Morgan Stanley in Louisville seeks a Senior Registered Service Associate to provide operational support and management assistance across the unit. You will handle asset movements, trade processing, and document management while ensuring compliance with firm policies and regulatory requirements.

The role involves attention to detail, team collaboration, and readiness to obtain Series 9/10 for supervisory duties where applicable.

Qualifications

• High School Diploma or equivalent required; college degree preferred.
• Series 7 and Series 66 (or Series 63 and Series 65) required or will be pursued.
• At least 5 years of industry experience preferred; strong performance in current role for 2 years, if applicable.

Responsibilities

• Perform asset movement functions including review of checks and deposits, issuing checks, and approving cash/securities transactions.
• Maintain operational logs for accuracy and managerial execution.
• Process trade adjustments and manual trade tickets.
• Respond to operational alerts per firm policies and procedures.
• Execute items from delegated reports to meet service levels.
• Manage documents with quality reviews, scanning, and electronic filing.
• Oversee mail distribution at multiple points daily; support audit readiness and regulatory compliance.
• Identify opportunities for firm services and secure digital offerings.
• Assist with special projects and evolve with policy/platform changes.

Skills

Microsoft Office

Client service

Detail oriented

Organizational skills

Team player

Fast-paced environment

Series 9/10 readiness

Education

High School Diploma/Equivalency

College degree preferred

Series 7 (GS) & Series 66 (AG/RA) or Series 63 & Series 65

5+ years industry experience

Performance in current role (2 years)

Tools

Microsoft Office

Job description

POSITION SUMMARY

Senior 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 escape 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 transactions
• Responsible for the ongoing maintenance and ensure accuracy and managerial execution of operational logs
• Process trade adjustments and manual trade tickets
• Assist Service Leadership in timely responses to operational alerts according to Firm policies and procedures
• Execute actionable items upon review of delegated reports and requests to meet service level expectations
• Manage documents, including quality reviews for accuracy and completeness, scanning and electronic filing
• Oversee and distribute incoming and outgoing mail, including opening, sorting, and distributing regular and/or overnight mail at multiple points throughout the day
• Support 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 requirements
• Identify 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 capabilities
• Identify gaps within processes or procedures actioned within the branch and elevate to management team
• 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, 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 needed
• Perform 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 Managers
• Organize and track progress against operational remediation projects

EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS:

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) required
• At least 5 years of industry experience required
• Demonstrated strong performance in current role for the prior 2 years, if applicable

Knowledge/Skills

• Strong computer skills and knowledge of Microsoft Office products
• Exceptional written, 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

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.

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.