Morgan Stanley Ops Specialist Jobs in New York, United States | Associate Vacancy for (Wealth Management) Careers

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Morgan Stanley | Global Leader in Financial Services

Morgan Stanley Recruitment Hiring 2023 for investment management and financial services Industry Jobs in New York, USA for Ops Specialist, Line (Wealth Management) Vacancy


Morgan Stanley, is currently looking for a Ops Specialist, Line (Wealth Management). For this role, you will have the following job responsibilities and skill sets:


Ops Specialist, Line (Wealth Management): Brief Job Details

Hiring company: Morgan Stanley

Experience Required? Experience required to apply

Monthly Salary: Not Disclosed

Job Location: New York – United States of America

Education: Bachelor’s degree

Job Function: (monitoring of the daily activities of cash and margin accounts)

Skillset required: Regulation T and FINRA rules. Knowledge of Equities, Fixed Income Products, and Options

Nationality: Any Nationality

Gender: Any

Number of Total Vacancies: Not disclosed

Company Industry: investment management and financial services


Job Description for Ops Specialist, Line (Wealth Management) Vacancy in New York, United States of America

POSTING DATE: Jul 20, 2022
PRIMARY LOCATION: Americas-United States of America-New York-New York
EDUCATION LEVEL: Bachelor’s Degree
JOB: Other
JOB LEVEL: Associate

Job location: New York, USA

Job description

The Margin Associate monitors the daily activities of cash and margin accounts to ensure compliance with the regulations of the Federal Reserve Board (Regulation-T), FINRA, and Morgan Stanleys own internal credit policies. Analyzes accounts with credit and risk issues associated with risky trading strategies.

Job Responsibilities

What you’ll need to succeed

Issues maintenance calls on accounts that fall below minimum margin requirements. File extensions with FINRA on open trades. Reviews and approves client requests for payments, transfer of assets within Morgan Stanley Wealth Management and transfer of assets to other financial organizations. The Margin Associate responds to branch inquiries related to, but not limited to, cash available, buying power, option calculations, margin day trading, trade through violations and disbursement approvals. The Margin Associate reviews and maintains the accuracy of customer margin account records of securities purchased creating REG-T, House and FINRA calls. The Margin Associate interacts with the branch network regarding the remediation of margin accounts requiring action due to down market exposures creating House and FINRA calls and deficit equity. The Margin Associate ensures that all customer accounts with outstanding regulatory exceptions are brought into compliance regarding retention house requirements, FINRA 4210, and Regulation-T.

The Margin Associate conducts daily account surveillance activities and enforces sellouts and buy-ins with the Branch offices. Work on ad-hoc projects within the department. Prepare and present Margin presentations and reports to management as well as the Field.

Job Requirements, Required Skills & Educational Qualifications

To be considered for this role, you need to meet the following requirements:

Required skills & Qualifications :

  • Bachelors Degree required
  • Knowledge of Regulation T and FINRA rules.
  • Knowledge of Equities, Fixed Income Products, and Options.
  • High level of customer service.
  • Strong problem solving and analytical skills.
  • Ability to use appropriate analysis, judgment, and logic when solving problems & making decisions.
  • Excellent teamwork, communication, and presentation skill.
  • Desire to work in a Team Oriented environment.
  • Experience in VISIO a plus.
  • Ability to listen and communicate effectively with others both verbally and written.
  • Ability to relate well with others and build relationships.
  • Ability to work under pressure in a time sensitive environment.


About us: Morgan Stanley

Morgan Stanley mobilizes capital to help governments, corporations, institutions and individuals around the world achieve their financial goals. For over 85 years, the firm’s reputation for using innovative thinking to solve complex problems has been well earned and rarely matched. A consistent industry leader throughout decades of dramatic change in modern finance, Morgan Stanley will continue to break new ground in advising, serving and providing new opportunities for its clients.

Morgan Stanley is committed to maintaining the first-class service and high standard of excellence that have always defined the firm. At its foundation are five core values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — that guide its more than 70,000 employees in 1,200 offices across 41 countries

Company Industry

an American multinational investment management and financial services company headquartered at 1585 Broadway in Midtown Manhattan, New York City

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September 22, 2023 12:50 pm