Company Profile

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Department Profile

Designated Brokerage (DB) provides services that allow companies to track their personnel's trading activities in order to meet in-house code of conduct surveillance practices and/or the following regulatory obligations. Standard services include daily electronic compliance reporting feeds (Activity file, Position files, and Employee list). Data transmission to third-party Data Aggregators upon request and monthly PDF statements.

Position Summary

The Designated Brokerage Analyst (DBA) maintains client relationships by providing excellent customer service and operational ongoing support for the Designated Brokerage feed service. The service helps clients achieve their compliance monitoring goals through automated reporting and tools.

Responsibilities

• Manages client communications regarding service, problem resolution, processing issues, and education on the service and reporting file content
• Acts as a point of contact and key liaison to develop strong relationships with the corporate client
• Promotes the MSAW brand and the DB service offering to clients to strengthen account retention
• Partners with DB Management on various engagements such as new client introductory presentations, as well as existing client outreach initiatives
• Provides quality service to both internal and external customers
• Responds to and initiates inquiries to other groups within the organization to resolve and/or assist with client related situations and services
• Provides back-up support to other group members in the performance of job duties as required
• Recommends operational and product solutions to increase the accuracy, efficiency and responsiveness of the DB service offering
• Performs ad-hoc reports and duties as assigned by management
• Adheres to all corporate policies, guidelines and statutory requirements and recommends to DB Management adoption and/or changes to policies and guidelines to reflect changes within the industry

Qualifications

• Bachelor’s degree or equivalent experience
• Experience in the financial services industry (preferred but not required), with a focus on compliance and relationship management
• Excellent in verbal and written communication
• Attention to detail, strong analytical skills and business sense
• Ability to effectively plan, organize, and manage projects in a fast-paced, changing environment

Knowledge and Skills

• Positive and professional relationship management capabilities
• Independent in decision-making with sound judgment
• Adaptable and well-organized in multi-tasking
• Adapts easily to Morgan Stanley systems, Salesforce, and MS Office (Word, Excel, Power Point)