Registered Client Service Associate

Morgan Stanley•Santa Rosa, CA

19d

About The Position

Registered Client Service Associates provide exceptional service to clients and support Financial Advisors (FAs), Private Wealth Advisors (PWAs), and their teams. Through regular client interactions, they build trusted relationships and help clients with everyday needs, using a client-first approach and strong interpersonal skills. The role provides client and administrative support, including assisting with client relationships and account servicing, processing money movement transactions, answering general non-investment account questions, and completing account documentation and onboarding tasks in a clerical capacity at the direction of clients or the FA/PWA/team. Associates also help clients use digital tools, support marketing and business plans, remain current on firm policies and platforms, and participate in firm initiatives and projects. Administrative duties include handling calls and service updates, coordinating calendars and meeting logistics, maintaining travel itineraries, preparing expense reports, and providing general office support. Applicants must be legally authorized to work in the United States and must not require employment visa sponsorship now or in the future.

Requirements

High school diploma or equivalent.
Active Series 7 (GS) and Series 66 (AG/RA), or Series 63 (AG) and Series 65 (RA).
Knowledge of financial services products, including equities, bonds, options, mutual funds, annuities, insurance, and managed accounts.
Strong attention to detail and superior organizational skills, with the ability to prioritize.
Advanced Microsoft Office skills, including Word, Excel, Outlook, and PowerPoint.
Exceptional writing, interpersonal, and client service skills.
Strong time-management skills.
Ability to collaborate with others as a team player.
Ability to work in a fast-paced, evolving environment.
Adaptability and ability to multitask.
Goal-oriented, self-motivated, and results-driven.
Legally authorized to work in the United States without requiring employment visa sponsorship now or in the future.

Nice To Haves

College degree.
Two or more years of industry experience.

Responsibilities

Support Financial Advisors, Private Wealth Advisors, and teams in cultivating and enhancing new and existing client relationships.
Execute money movement transactions at the request of clients or the FA/PWA/team.
Answer general non-investment-related questions about client accounts, including relaying stock positions and account balances.
Enter profile information and pre-fill client account documentation in a clerical capacity at the direction of clients or the FA/PWA/team.
Educate or enroll clients in digital tools such as MSOnline, eSign, and eAuthorization.
Onboard and maintain client accounts, including collecting client information and required documentation in a clerical capacity.
Provide existing clients with details about account information, such as investment objectives and risk tolerance.
Accept or enter unsolicited orders and enter solicited orders in a clerical capacity at the direction of the FA/PWA/team.
Support the marketing strategy of FAs, PWAs, and teams, including website maintenance.
Assist FAs, PWAs, and teams in delivering their business plans and client service models.
Remain current on firm policies, procedures, and new platforms.
Participate in firm initiatives, training or education programs, special projects, and other duties directed by local management.
Answer inbound calls or make outbound calls to provide service-request updates, including scheduling follow-up calls with FAs, PWAs, or teams.
Manage calendars and coordinate meetings or events, including preparing materials, maintaining agendas, and sending calendar invitations with Zoom credentials.
Maintain travel itineraries, prepare expense reports, and manage the reimbursement process.
Provide general in-office support, such as copying, filing, and scanning documentation.
Prepare and submit expense reports for processing at the direction of the FA/PWA.