CSA - Licensed Sales Associate / Client Service Associate (Investment Representative or Registered Representative with CIRO)
Company Profile: Morgan Stanley (MS) 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. Morgan Stanley Wealth Management Canada (MSWC), an affiliate of MS, is a fully licensed Canadian broker dealer with various client service channels under its umbrella.
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 Overview: The MSWC Business Enablement Team is a high performing team located in Toronto, which provides centralized, client service support to our Full-Service Financial Advisors and our Morgan Stanley Access Direct (MSAD) channel and operates in a hybrid model of in-office and remote working.
Position Summary: Reporting to the VP, Head of Business Enablement, the Client Service Associate (CSA) will help shape the future of service in the MSWC Business Enablement Team by modernizing the client experience through an elevated standard of care. The CSA assists with the development and growth of business through engaging and utilizing the full capabilities of the firm. This is a key role that requires an understanding of cross channel support, firm policies, procedures, and capabilities to deliver the full firm to clients.
Responsibilities:
Client support
- Cultivate and enhance new and existing client relationships through active communication with clients, processing client requests, resolving inquiries, and preparation of client reports and materials for meetings.
- Onboard and maintain client accounts, including collecting client information and making sure key information and documentation remains current, processing money movement transactions, and support of all digital offerings like online and mobile account access for clients.
- Provide all transition support for onboarding, and all administrative support and services for all recruited Financial Advisors and clients.
- Provide cross channel client administrative support when required.
- Provide administrative support and issue resolution for items related to Advisor Compensation when required.
- Execute unsolicited trades under the protocol established by MSWC.
- Continued evolution of detailed Standard Operating Procedures (SOP) / Desktop Policies and Procedures and identifying opportunities to improve existing processes.
- Review and take appropriate action on client account alerts.
- Provide backup support to other support professionals on the business enablement team or other cross functional teams.
Other
- Actively engage in available training and education programs – including firm strategic priorities, professional development and staying current on policies, procedures and new platforms and attend scheduled targeted/monthly field service professional and/or training calls.
- Perform additional administrative duties that support Financial Advisors in daily business practices as determined by the centralized support model developed by the Business Enablement Team.
- Proactively participate in firm initiatives directed by local management.
- Regularly seek opportunities to use firm resources for peer sharing and collaborating with Financial Advisors.
