Service Operations Lead — Compliance & Training

Socket.dev; Seattle (WA); On-site; USD 70,000 - 115,000; Full time

Benefits offered by this job

Medical benefits

Dental benefits

Paid time off

Job summary

Morgan Stanley is seeking an Associate Service Manager to partner with the Service Manager in Seattle to support operations, money movement, trade support, approvals, and audits. The role focuses on coaching, training, and ensuring branch compliance while delivering high‑quality service to clients.

The position emphasizes leadership, process improvement, and proactive problem solving with exposure to national platform changes and internal controls.

Qualifications

• High School Diploma or equivalent.
• College degree preferred.
• Active Series 7 (GS), Series 9 and Series 10 (SU), Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA).
• At least 2 years of industry experience required (5 years recommended).
• Demonstrated strong performance in current role over the past 2 years.

Responsibilities

• Lead the Branch in executing strategic priorities with coaching for consistency, quality and policy compliance.
• Oversee service transaction approvals and processes; manage logs, reports and actions.
• Quality assurance reviews of document handling and branch operations.
• Lead remediation efforts and ensure timely corrective actions.
• Respond to client inquiries/requests and escalate issues as needed.
• Ensure audit readiness and compliance with Firm policies in collaboration with SM and regional partners.
• Participate in national calls to learn platform changes and share best practices.
• Identify process improvements to boost productivity and efficiency.
• Assist with processing trade adjustments and operational alerts.
• Address service breaks and meet service level expectations.

Skills

Supervisory decision making

Written and verbal communication

Attention to detail

Prioritization and problem solving

Issue identification and resolution

Leadership and talent development

Organizational and time management

Conflict resolution

Relationship management

Risk & compliance knowledge

Strategic thinking

Education

High School Diploma/Equivalency

College degree preferred

Active Series 7, Series 9/10, Series 66/63/65 licenses

Job description

Morgan Stanley is seeking an Associate Service Manager to partner with the Service Manager in Seattle to support operations, money movement, trade support, approvals, and audits. The role focuses on coaching, training, and ensuring branch compliance while delivering high‑quality service to clients.

The position emphasizes leadership, process improvement, and proactive problem solving with exposure to national platform changes and internal controls.