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.
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'll 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 escalate 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.
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.
