The Accounts Team Specialist will work closely with all levels of field management to ensure New Accounts, Account Modifications, and Managed Account Inception/Modification activity (e.g., "Account Activity") has been appropriately approved using various internal systems. An Accounts Team Specialist will report directly to the Accounts Team Manager.
Accounts Team Specialist will interact with the field to resolve issues encountered during account review and approval processing.
Responsibilities
• Review & approve the New Accounts, and Account Modification requests
• Provide world class customer service to both field facing and internal counterparts in all interactions
• Research and resolve problems and deficiencies in a timely manner.
• Meet appropriate timelines within expectations for requests from Regional Interface inquiries and follow up within that time frame.
• Ability to handle a high volume of requests in a fast-paced environment.
• Knowledge and use of Morgan Stanley systems.
• Apply firm policies and procedures on account opening and maintenance activity (e.g., "Know Your Client" (KYC), Client Identification Program (CIP), and account suitability standards).
• Keep current on SEC/FINRA, Compliance and firm guidelines and policy and procedure changes and apply to processing and all interaction to ensure risk mitigation
• Participate in projects and/or remediation efforts as needed including pilot programs
• Other duties as assigned
• Bachelor's degree required or equivalent education or experience
• Series 7/66 (63+65) necessary, 9/10 must be taken/passed within 120 days
• 2+ years of industry experience (broker/dealer risk experience is a plus) Knowledge / Skills
• Excellent interpersonal and client service skills
• Effective written and verbal communication skills
Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.
It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).