Account Review Specialist

Morgan Stanley

Posting Date

Aug 13, 2019

Primary Location

Americas-United States of America-Utah-South Jordan Refer to Position Description

Job

Wealth Management Full Time Professional

Description

The ARU Associate 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 ARU Associate will report directly to the ARU Manager. ARU Associate will interact with the field to resolve issues encountered during account review and approval processing. Responsibilities: • Review & approve the New Accounts, Managed Account Inceptions, 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

Qualifications

Education and/or Experience • 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 • Strong attention to detail and excellent judgement • Basic knowledge of Morgan Stanley systems and procedures • Organizational skills, attention to detail and excellent follow up skills • Ability to research and resolve problems and service inquiries and escalate when appropriate • Strong computer skills including Microsoft Suite • Be self-motivated and able to work in a strong team and high activity environment

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Confirmed 23 hours ago. Posted 30+ days ago.

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