Client Service Ops Specialist, Associate

Department Profile Executive Financial Services supports Morgan Stanley’s directed share program, stock plan, executive compensation, and restricted-securities businesses. The department provides operational and client-service support for account opening and maintenance, equity compensation activity, Rule 10b5-1 trading plans, Rule 144 transactions, restricted and control stock, and related brokerage services. Position Summary The Client Service Operations Specialist is responsible for processing client documentation and service requests, opening and maintaining accounts, managing workflow cases, monitoring operational queues, and responding to inquiries from clients, Financial Advisors, branch personnel, and internal business partners. The role reviews requests for accuracy and completeness, determines whether established processing requirements have been satisfied, and coordinates with internal teams to resolve incomplete, rejected, or complex requests. The specialist must maintain accurate records, follow established controls, and provide professional and timely support in a high-volume environment.

Key Responsibilities

• Review and process client documentation, including Forms W-9 and W-8, identification documents, equity plan materials, broker-dealer forms, and other account-opening or maintenance documentation.
• Open and maintain client accounts supporting directed share, stock plan, and executive compensation programs, including the processing of international accounts requiring identification documentation.
• Process service requests involving account updates, share transfers, wire transfers, foreign exchange transactions, estate matters, account closures, checks, and other disbursement
• Review service requests for accuracy and completeness and approve, deny, or escalate requests based on established procedures and predefined criteria.
• Respond to inquiries from clients, Financial Advisors, branch personnel, and internal partners regarding account-activity, documentation requirements, processing procedures, and request status.
• Manage workflow cases by distributing forms, updating account information, processing estate documentation, and routing wire or check requests to the appropriate processing teams
• Monitor account-opening and operational queues, review rejected submissions, correct account information when appropriate, and follow up with clients or business partners to obtain revised documentation.
• Support the resolution of trade errors by monitoring applicable queues, creating maker-checker cases, coordinating with internal teams, and completing required gain-or-loss calculations. [
• Perform daily monitoring of account activity, maintain accurate records, and generate or analyze reports as needed
• Identify processing gaps and collaborate with business partners to improve operational efficiency, client service, risk management, and control execution.
• Develop working knowledge of EFS products and services, which may include Rule 10b5-1 trading plans, Rule 144, Section 16, restricted stock, equity compensation, and related operational requirements

Qualifications

Required

• Two to five years of experience in a financial services, brokerage, operations, or client-service environment.
• Bachelor’s degree or equivalent combination of education and relevant professional experience.
• Fundamental knowledge of brokerage operations and client-service processes.
• Strong attention to detail, organizational skills, and document-review accuracy.
• Demonstrated ability to prioritize and manage multiple cases, queues, and time-sensitive requests.
• Strong written and verbal communication skills, including the ability to explain documentation and processing requirements clearly.
• Sound judgment and critical-thinking skills when resolving inquiries, identifying incomplete requests, and managing escalations.
• Ability to work independently while collaborating effectively in a closely coordinated team environment.
• Proficiency with Microsoft Excel and the ability to generate, review, and analyze operational data and reports.
• Series 7 and 63 licenses, or willingness to obtain the required licenses within six months of hire.

Preferred

• Experience supporting executive financial services, stock plan administration, equity compensation, or restricted-securities activity.
• Familiarity with Rule 10b5-1 trading plans, Rule 144, Section 16, restricted or control stock, and related brokerage operations.
• Demonstrated ability to remain composed in a high-pressure, deadline-driven environment.
• Effective conflict-resolution and problem-solving skills.
• Flexible, dependable, and collaborative approach to working with clients and internal partners.
• Initiative in identifying issues, recommending practical solutions, and independently developing new skills and knowledge.

Core Competencies

• Client and partner service
• Operational execution
• Risk awareness and control discipline
• Accuracy and attention to detail
• Critical thinking and problem resolution
• Ownership and accountability
• Teamwork and collaboration
• Adaptability and continuous learning

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser.

Expected base pay rates for the role will be between $70,000 to $100,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.