SRU Accounts Team Manager

Morgan Stanley•South Jordan, UT

12d

About The Position

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.

Requirements

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)
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

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