Service Operations Associate - Trade & Compliance Support

Morgan Stanley; Allentown (Lehigh County); On-site; USD 52,000 - 70,000; Full time

Job summary

Morgan Stanley in Allentown, PA seeks a Registered Service Associate to provide operational support, manage documents, money movement, and trade support. The role includes handling audits, process improvements and collaboration with the Service Managers and sales teams.

The position requires a High School Diploma or equivalent, a College degree is preferred, and active Series 7/66 or 63/65 licenses. Strong MS Office and client service skills are essential.

Qualifications

• High School Diploma or equivalent.
• College degree preferred.
• Active Series 7 and Series 66 or Series 63 and Series 65 required.
• Strong computer skills and knowledge of Microsoft Office products.

Responsibilities

• Manage documents, including quality reviews for accuracy and completeness, scanning and electronic filing.
• Oversee and distribute incoming and outgoing mail, including sorting, time stamping and distributing 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 escalated service breaks to management team.
• If supervisory licenses are held – Possibility of supervisory responsibilities to be delegated.
• Assist with special projects (e.g., recruit onboarding support).

Skills

MS Office

Writing & client service

Detail oriented

Team player

Fast-paced environment

Series 9/10 willingness

Education

High School Diploma/Equivalency

College degree preferred

Series 7 & Series 66 OR Series 63 & Series 65 required

Job description

Morgan Stanley in Allentown, PA seeks a Registered Service Associate to provide operational support, manage documents, money movement, and trade support. The role includes handling audits, process improvements and collaboration with the Service Managers and sales teams.

The position requires a High School Diploma or equivalent, a College degree is preferred, and active Series 7/66 or 63/65 licenses. Strong MS Office and client service skills are essential.