VP, Complaints Intake Manager

Morgan-Stanley; Dallas (TX); On-site; USD 95,000 - 170,000; Full time

Job summary

Morgan Stanley is seeking a Complaints Intake Manager in Wealth Management Compliance to lead the intake, coding, quality control, policies, and regulator responses for the Morgan Stanley Smith Barney and E*TRADE complaints program.

This Vice President level role focuses on advisory guidance to the Wealth Management Field, overseeing a team and coordinating with Compliance, Legal, Risk, Operations, and Customer Service to ensure timely and compliant complaint handling.

Qualifications

• Detailed knowledge of FINRA, SEC, and consumer protection laws, rules, and regulations related to intake and processing of complaints.
• Strong understanding of financial markets, broker-dealers and banking products and services.
• Motivated self-starter able to work independently while coordinating across a complex organization.
• Experience supervising, assigning work, reviewing quality, providing feedback, coaching, and developing team members.
• Strong analytical and problem-solving skills with timely, viable solutions.
• Sound judgment and the ability to escalate issues appropriately.
• Excellent written and verbal communication, attention to detail, and time management.
• Outstanding interpersonal skills and a team-player attitude.

Responsibilities

• Ensure complaint intake and processing activities comply with regulatory and Firm requirements (e.g., FINRA, MSRB, NFA).
• Oversee, assign work, provide feedback and develop team members.
• Maintain quality control processes for accurate and consistent intake and processing.
• Ensure complaints are logged, categorized, and routed per procedures and regulatory requirements.
• Support development and maintenance of complaint handling trainings, practices, policies, and procedures.
• Collaborate with Compliance, Legal, Risk, Operations, and Customer Service to identify, process and resolve complaints.
• Engage with regulators and provide insights to senior leadership on patterns, trends and drivers.

Skills

Regulatory knowledge

Financial markets understanding

Analytical thinking

Coaching and people management

Communication skills

Team collaboration

Decision making

Job description

We’re seeking someone to join our team as a Complaints Intake Manager in Wealth Management Compliance to be responsible for the management of the Morgan Stanley Smith Barney and E*TRADE complaints program, including but not limited to intake, coding, quality control, policies, procedures, advice and guidance to the business and responses to regulators.

In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Vice President level position within the Wealth Management Field Compliance team which focuses on providing advisory guidance to the Wealth Management Field. WM Field Compliance is comprised of Regional Compliance Officers and Field Service Compliance, Compliance Conduct Risk and Complaints, Private Wealth Management, International Wealth Management and WM Private Banking Group Compliance.

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

What you'll do in the role:

• Ensure complaint intake and processing activities comply with applicable regulatory (e.g., FINRA, MSRB, NFA) and Firm requirements.
• Oversee, assign work, provide feedback and develop team members.
• Maintain appropriate quality control processes to ensure accurate and consistent complaint intake and processing.
• Ensure complaints are logged, categorized, and routed correctly according to internal procedures and regulatory requirements.
• Support the development and maintenance of appropriate complaint handling trainings, practices, policies, and procedures.
• Work collaboratively with Compliance, Legal, Risk, Operations, and Customer Service teams to ensure appropriate and timely identification, processing and resolution of complaints.
• Engage with regulators and provide insights to senior leadership related to complaint patterns, trends, and drivers.

What you bring to the role:?

• Detailed knowledge of applicable FINRA, SEC, and consumer protection laws, rules, and regulations related to intake and processing of complaints.
• Strong understanding of financial markets, broker-dealers and banking products and services.
• Highly motivated self-starter able to work independently while collaborating and coordinating across a complex organization.
• Experience supervising, assigning work, reviewing quality, providing feedback, conducting coaching, managing performance, and developing team members.
• Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment.
• Sound judgment and an ability to appropriately escape issues internally.
• Exceptional written and verbal communications skills, attention to detail and effective time management.
• Outstanding interpersonal skills and team-player attitude with the ability to build effective partnerships.

Typically, 8+ years' relevant experience would generally be expected to find the skills required for this role.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. 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. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. 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://www.morganstanley.com/about-us/global-offices into your browser.

Expected base pay rates for the role will be between $95,000 and $170,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.