SRU Accounts Team Manager

ent" (KYC), Client Identification Program (CIP), and account suitability standards). Keep current on SEC/FINRA, Compliance and firm guidelines and policy and procedure changes and apply to processing and all interaction to ensure risk mitigation Participate in project and or remediation efforts as needed including pilot programs Hold regular calls with branch management and senior field leadership, building rapport and addressing any points of concern or questions Bachelor's degree required or equivalent education or experience Series 7, 63/65 or 66, and 9/10 licenses required 3+ years of industry experience (broker/dealer risk experience is a plus) Evidence of strong leadership capabilities or previous supervisory experience Attention to detail and excellent follow up skills Focused intent on Client Service Satisfaction Ability to research and resolve service inquiries Know when to escalate an item to mitigate risk * Self-motivated and able to work in a fast paced environment 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. 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://https://www.morganstanley.com/about-us/global-offices into your browser. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.