SRU Accounts Team Manager

The AT Manager will work closely with all levels of field management in addition to internal departments to provide support through various systems to ensure New Accounts and Account Modifications has been appropriately reviewed and approved. Act as primary point of contact between assigned branches and the AT. Work with AT Specialists to resolve issues encountered during account review and approval processing. The AT Manager will supervise a team of AT Specialists.

Responsibilities:

• Primary responsibility for the Account Activity review and approval functions with focus on consistency, quality, and compliance with firm policies and procedures

• Participate in recruitment and hiring of permanent, temporary and part-time employees • Conduct Performance Reviews and identify developmental needs for staff

• Provide world class customer service to both field facing and internal counterparts in all interactions

• Process and follow up on phone or email inquiries from assigned Branches to ensure completion in a timely manner  

• Act as a liaison between AT and reporting groups as needed

• Ability to handle a high volume of requests in a fast paced environment across multiple time zones

• 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 project and or remediation efforts as needed including pilot programs

• Hold regular calls with branch management and senior field leadership, building rapport and addressing any points of concern or questions

Qualifications:

• Bachelor’s degree required or equivalent education or experience

• Series 7, 63/65 or 66, and 9/10 licenses required

• 3+ years of industry experience (broker/dealer risk experience is a plus)

Knowledge and Skills:

• Evidence of strong leadership capabilities or previous supervisory experience

• Basic knowledge of Morgan Stanley systems and Microsoft Suite

• Excellent interpersonal and client service skills

• Basic clerical, administrative and organizational skills

• Attention to detail and excellent follow up skills

• Highly effective written and verbal communication skills

• Focused intent on Client Service Satisfaction

• Ability to research and resolve service inquiries

• Know when to escalate an item to mitigate risk • Self-motivated and able to work in a fast paced environ

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.