Provide fundamental client support in all phases of operational service and account maintenance.
Provide daily processing support for transaction business request to support the internal and
DUTIES and RESPONSIBILITIES:
· Review new account forms for accuracy and completeness.
· Distribute new account documents and required notifications to clients.
· Accurately transmit and receive administrative messages and other communications between
the branch and New York Departments, Exchanges, and other branch offices.
· Process securities, ensuring good delivery and accurate processing.
· Process checks for Management signature.
· Prepare and process trade corrections, maintain necessary records for compliance.
· Perform weekly follow-up on missing documents.
· Assist Financial Advisors and support staff with questions regarding documentation and
account title formatting.
· Maintain account files, keeping filing of documents current.
· Maintain file for order tickets, by month.
· Maintain accurate records for securities and transfers.
· Process account transfers and follow-up on status of transfer requests.
· Scan and fax documents; sort and distribute mail.
· Cooperate with branch cross-training requirements
· Advise Management and Financial Advisors of money and securities due each morning.
· Verify Trade Confirmations report at the start of day against previous days order tickets.
· Provide daily inventory of securities, ensuring compliance with regulations.
· Evaluate margin requirements and advise Management and Financial Advisor of necessary
· Prepare monthly reports (Monthly Insurance, Prepayment, etc.)
· Distribute messages to proper individuals.
· Organize days work at close of business, for Management signature/approval.
· Industry experience a plus.
· Be authorized to work in the U.S. without restriction as to duration.
· Pass a background check.
· Pass any applicable pre-employment tests.
Morgan Stanley - 20 months ago
One of the world's top investment banks, Morgan Stanley serves up a smorgasbord of financial services. The company operates...