Sr Registered Service Associate (FL)
Core
Senior Registered Service Associate performs operational support and oversight for a financial complex, managing documents, money movement, trade support, and special projects.
Role type
Senior Registered Service Associate (Financial Services Operations)
Builds
Operational support functions for a financial complex
Domain
Financial Services / Investment Banking
Required skills
Series 7, Series 66, Series 63, Series 65, document management, money movement, trade adjustments, regulatory compliance, audit preparedness, service level management, special projects support, policy interpretation, administrative duties
Preferred skills
Series 9, Series 10, supervisory license, onboarding support, digital offerings knowledge
Technologies
Microsoft Office, Morgan Stanley Online, Morgan Stanley Mobile, remote deposit capture
Responsibilities
Manage documents including quality reviews, scanning, and electronic filing; oversee and distribute incoming and outgoing mail; perform basic money movement functions such as check deposits and issuing checks; assist with processing trade adjustments and responding to operational alerts; execute actionable items upon review of delegated reports; support audit preparedness through ongoing monitoring of accounts and processes; remedy and/or escalate service breaks; assist with special projects; identify firm services and solutions that support clients' needs; maintain focus on evolving policy and platform changes; perform various other administrative duties; serve as a resource to sales, service, risk and Home Office partners; organize and track progress against operational remediation projects
Seniority
Senior, hands-on IC