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 Compliance
Builds
Regulatory-compliant complaint handling processes and team capabilities
Domain
Financial Services / Wealth Management Compliance
Required skills
FINRA/SEC/consumer protection law knowledge, financial markets expertise, team supervision, regulatory engagement, analytical problem-solving, policy development
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 according to procedures; 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 patterns to senior leadership
Seniority
Vice President, hands-on IC with team leadership