VP, Complaints Intake Manager
Core
Manage the Morgan Stanley Smith Barney and E*TRADE complaints program, including intake, coding, quality control, policy development, and regulatory responses.
Role type
VP, Wealth Management Field Compliance
Builds
Regulatory compliance and risk management processes for the Wealth Management division
Domain
Financial Services / Wealth Management / Compliance
Required skills
FINRA/SEC/consumer protection law knowledge, financial markets expertise, team supervision, regulatory engagement, analytical problem-solving, written/verbal communication
Preferred skills
None stated
Technologies
None stated
Responsibilities
Ensure complaint intake and processing comply with regulatory and Firm requirements; Oversee, assign work, provide feedback and develop team members; Maintain quality control processes for accurate complaint intake; Log, categorize, and route complaints correctly; Support development of complaint handling trainings and policies; Collaborate with Compliance, Legal, Risk, Operations, and Customer Service teams; Engage with regulators and provide insights on complaint trends to senior leadership
Seniority
Vice President, strategic advisory & team leadership