Business Service Manager – Client Resolution Team
Morgan Stanley
4,034 reviews
Temple Terrace, FL
Morgan Stanley
4,034 reviews
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Business Service Manager – Client Resolution Team
Job Number:
3166111
POSTING DATE: Feb 10, 2021
PRIMARY LOCATION: Americas-United States of America-Arizona-Gilbert
EMPLOYMENT TYPE: Full Time
JOB LEVEL: Assistant Vice President
DESCRIPTION
Business Service Manager – Client Resolution Team
Role Responsibilities
Primarily responsible for service and operations functions within the complex establishing a standard of consistency, quality, and compliance with Firm policies and procedures
Responsible for supervision of Client Resolution & Operations Associates, including career development
Builds an effective team by constantly communicating relevant information on a timely basis and conducting regular meetings
Identify and assist in managing service risk within the business and recommend changes to policy and procedural guidelines as appropriate
Work closely with the associates on resolving client issues and complaints with the utmost professionalism and care
Provide support as needed for Trade Adjustment approvals, and workflow approvals, and complaint resolution documentation
Provide the coaching and guidance on policies and procedures in order to promote risk awareness in a compliant environment
Supports the risk team in the preparation for and response to audits as needed
Keep current on SEC/FINRA, Compliance and Firm guidelines and apply to all activity to ensure risk mitigation
Effective risk recognition, including ensuring a thorough understanding of and adherence to all policies and procedures.
Other duties as assigned
Education and Experience
Bachelor’s degree required or equivalent
3+ years previous industry experience managing a team or process
Licenses and registrations
Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)
Other licenses as required for role or by management
QUALIFICATIONS
Knowledge and Skills
Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures
Effective written and verbal communication skills
Strong attention to detail
Ability to organize and prioritize work, meet deadlines and complete projects
Ability to prioritize and resolve complex issues, escalating as needed
Ability to identify issues and trends in order to anticipate change and provide comprehensive solutions and remedies
Proficient in Excel and other Microsoft suite products