Client Advisory Center - Financial Advisor
Temple Terrace , Florida
March 27, 2017
The primary duty of this position is to ensure a high level of client satisfaction by providing clients with world-class customer service and investment advice based upon individual client financial needs and objectives. Job responsibilities include handling a high volume of client contact and activity, research in connection with various products, and identifying client growth opportunities. This individual is expected to handle calls to and from current clients, build strong business relationships and offer financial recommendations and solutions in the best interest of the client. This individual must thoroughly understand all Morgan Stanley systems and comply with all Morgan Stanley policies and procedures. The expectation is that this individual meets the minimum service guidelines of at least one proactive contact per year, per client. Semi-annual client portfolio reviews are ideal.

  • Manages client relationships by offering advice, making portfolio and other recommendations, and gauging client suitability and tolerance for risk.
  • Always understands each client's financial circumstances, investment objectives and financial goals. Exercising good judgment, makes appropriate recommendations based upon the client's individual situation, goals, needs and objectives.
  • Thorough understanding of policies and procedures as it relates to our Employee Perks offerings. Service any self-directed accounts in Employee Perks by providing timely and accurate information and by facilitating employee requests.
  • Has and maintains a thorough understanding of the current market and of the Firm's products and those of its strategic partners. Uses this knowledge to match appropriate products and services with clients' financial circumstances, needs and objectives.
  • Focuses on proactively uncovering, increasing and maintaining client assets, and consolidating client accounts where appropriate.
  • Can assist in increasing the Firm's client base and in maintaining and managing long-term client relationships.
  • Must be able to thrive in a fast-paced environment of client contact where inbound and outbound client calls are the communication tool, and in which the Client Advisory Center Financial Advisor is the sole or principle client contact and Firm representative.
  • Has the ability to recognize and mitigate risk for the Firm when working with clients.
  • Has the ability to meet business objectives and have professional accountability for these objectives
  • Uphold the requirements written in the Cilent Advisory Center Quality Assurance Performance Management Guidelines.
  • Ability to understand our business and the value of the Client Advisory Center to clients, and to work with clients to ascertain the next steps in their relationship with the Firm.
  • Can leverage the Firm's resources (Client Solutions, Regional Service Center) in order to provide optimal service to clients.
  • Always acts in a compliant and ethical manner in business and client interactions. Can make recommendations and handle client interactions in accordance with Morgan Stanley compliance policies and procedures.
  • Able to perform all duties with only minimal direct supervision.
Additional requirements may include:
  • Individual must hold current Series 7, Series 31, and Series 66 (encompasses 63 and 65).


Education and/or Experience:
  • College degree or equivalent experience preferred
  • Successful completion of the Reach for Excellence, Professional Foundations Program, or equivalent program, or FINRA-registered for 2 years or more

  • Seeks opportunities and helps to grow the business with clients by capitalizing on Firm initiatives; focuses on building strong relationships with clients.
  • Uses outbound phone calls and other efforts to facilitate business and client relationship development.
  • All client interaction will take place via phone and email.
  • No outbound prospecting to non-clients (e.g. cold calls) should be conducted. However, referrals from existing clients are encouraged. All clients should come from existing book (prior to taking position) and from other Financial Advisors in the area.

Client Service:
  • Focus on improving client satisfaction by emphasizing world class, individualized client service, 100% accuracy, responsiveness and follow through. Always strives to exceed client expectations.
  • Accountability for meeting business objectives.
  • Brings a disciplined and consistent approach to meeting the needs of clients.
  • Proactively contacts each client at least once per year, and, ideally, conducts portfolio reviews twice per year for each client.
  • Always uses a consultative approach to providing client recommendations and solutions.
  • Constantly communicates relevant information on a timely basis.
  • Places trades with a high level of accuracy and follow-through.
  • Assists in providing full service brokerage services.
  • Self-motivated/self-starter with excellent work ethic
  • Excellent client service skills
  • Excellent communication skills
  • Prior Financial Advisor/Consultant or sales experience preferred

Reports To:
  • Branch Manager

Morgan Stanley
EOE committed to diversifying its workforce.

A little about us:
Since its founding in 1935, Morgan Stanley and its people have helped redefine the meaning of financial services.

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