Apply on Employer Site

E*TRADE from Morgan Stanley · 1 month ago

Wealth Management Operations- Director (AVP)- Unclaimed Properties

South Jordan, Utah, United States of America

Full-time

Onsite

Lead/Staff

$64K/yr - $108K/yr

E*TRADE from Morgan Stanley is an industry leader in financial services, known for mobilizing capital to help achieve financial goals. They are seeking a Director in Escheatment Services Operations to oversee all aspects of Escheatment functions, ensuring effective controls and managing client relationships.

BankingFinanceFinancial Services

Responsibilities

Serve as a subject matter expert within functional area, working with Team Manager to manage processes, risks and/or projects, proposing and implementing improvements/changes

Act as key problem solver for area or expertise, applying detailed knowledge to address unique or novel situations, recognize risks and draw out key issues

Coordinate work, train and develop other team members where required, including task allocation, and project contribution

Manage returned mail and SEC Regulation 17ad-17 Lost Security Holder process

Supervise internal and external inquiries and ensure maintenance of SLAs

Operate with in-depth knowledge of Compliance risk avoidance

Monitor and ensure that support for the returned mail process and SEC Regulation 17Ad-17 is documented, reviewed, and accurately prepared

Respond to and coordinate with clients/business areas in regard to returned mail inquiries

Serve as Subject Matter Expert for returned mail and Escheatment

Work with clients or internal stakeholders as information is required or requested

Support the receiving, reconciling, and reporting of unclaimed assets as needed

Manage and reconcile internal unclaimed property accounts

Manage unclaimed property campaigns

Work on assigned projects on an as-needed basis to support Escheatment Operations

Qualification

Unclaimed property regulationsRisk managementProject managementClient relationship managementData analysisCollaboration skillsOrganizational skillsProblem-solving skillsInterpersonal skillsCommunication skills

Required

Ability to lead by example, work with drive and determination, and put forward challenging views to senior levels

Comprehensive knowledge and understanding of functional area and operational/compliance policies and procedures of their team

Ability to operate independently across the majority of day-to-day responsibilities

Culture carrier across Operations, embracing the Firm's core values and acting as a role model

Collaboration and teamwork skills and experience, including strong interpersonal skills

Organizational skills, with strong attention to detail, and the ability to manage multiple deadlines

Identify and escalate potential process anomalies to management in a timely manner

Knowledge of unclaimed property regulations and SEC 17ad-17

Demonstrated experience identifying and addressing client needs: actively participating in discussions and meeting

Support a positive environment by balancing workloads while meeting client expectations; providing candid, meaningful feedback in a timely manner; and keeping management informed of progress and issues

Ability to effectively present information and respond to questions from business areas, managers and clients

Strong interpersonal and communication skills with the ability to establish excellent working relationships with internal business areas and clients

Project management capabilities

Strong critical thinking, organizational, and problem-solving skills

Ability to analyze large datasets

Ability to manage people