Morgan Stanley
Wealth Management Complaints Intake Manager, Vice President
Morgan Stanley, Baltimore, Maryland, United States, 21276
Wealth Management Complaints Intake Manager, Vice President
Join to apply for the
Wealth Management Complaints Intake Manager, Vice President
role at
Morgan Stanley Wealth Management Complaints Intake Manager, Vice President
3 days ago Be among the first 25 applicants Join to apply for the
Wealth Management Complaints Intake Manager, Vice President
role at
Morgan Stanley We're seeking someone to join our team as a Wealth Management Complaints Intake Manager in Non-Financial Risk to manage the Wealth Management Complaints Intake team.
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 Complaints Intake team, responsible for the management of the MSSB and E*TRADE complaints programs, including but not limited to: intake; quality control; policies, procedures, and training; assurance activities relating to compliance with applicable regulatory requirements; and engagement with regulators and senior leadership to provide insights and trend analysis.
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 requirements (e.g., FINRA, MSRB, NFA). 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 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 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 partnership At least 8 years' relevant experience would generally be expected to find the skills required for this role
What You Can Expect From Morgan Stanley
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 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 $120,000 and $205,000 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's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.
It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet). Seniority level
Seniority level Executive Employment type
Employment type Full-time Job function
Job function Finance and Sales Referrals increase your chances of interviewing at Morgan Stanley by 2x Get notified about new Wealth Manager jobs in
Baltimore, MD . Baltimore, MD $100,000.00-$130,000.00 4 weeks ago Baltimore, MD $100,000.00-$110,000.00 2 weeks ago Baltimore, MD $91,858.00-$153,088.00 1 month ago Sr. Relationship Manager - PNC Private Bank
Senior Relationship Manager - Business Credit
Towson, MD $120,000.00-$160,000.00 3 weeks ago Personal Financial Counselor - Air National Guard, Middle River, MD
Middle River, MD $53,125.00-$84,995.00 9 months ago Baltimore, MD $80,000.00-$110,000.00 2 weeks ago Columbia, MD $69,000.00-$89,000.00 1 month ago Columbia, MD $36,500.00-$125,000.00 1 week ago Columbia, MD $72,000.00-$100,000.00 1 month ago Baltimore, MD $49,500.00-$126,500.00 1 month ago J.P. Morgan Wealth Management - Private Client Advisor - Maryland (Multiple Locations)
Laurel, MD $92,000.00-$120,000.00 21 hours ago Baltimore, MD $71,500.00-$177,100.00 1 month ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr
Join to apply for the
Wealth Management Complaints Intake Manager, Vice President
role at
Morgan Stanley Wealth Management Complaints Intake Manager, Vice President
3 days ago Be among the first 25 applicants Join to apply for the
Wealth Management Complaints Intake Manager, Vice President
role at
Morgan Stanley We're seeking someone to join our team as a Wealth Management Complaints Intake Manager in Non-Financial Risk to manage the Wealth Management Complaints Intake team.
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 Complaints Intake team, responsible for the management of the MSSB and E*TRADE complaints programs, including but not limited to: intake; quality control; policies, procedures, and training; assurance activities relating to compliance with applicable regulatory requirements; and engagement with regulators and senior leadership to provide insights and trend analysis.
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 requirements (e.g., FINRA, MSRB, NFA). 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 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 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 partnership At least 8 years' relevant experience would generally be expected to find the skills required for this role
What You Can Expect From Morgan Stanley
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 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 $120,000 and $205,000 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's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.
It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet). Seniority level
Seniority level Executive Employment type
Employment type Full-time Job function
Job function Finance and Sales Referrals increase your chances of interviewing at Morgan Stanley by 2x Get notified about new Wealth Manager jobs in
Baltimore, MD . Baltimore, MD $100,000.00-$130,000.00 4 weeks ago Baltimore, MD $100,000.00-$110,000.00 2 weeks ago Baltimore, MD $91,858.00-$153,088.00 1 month ago Sr. Relationship Manager - PNC Private Bank
Senior Relationship Manager - Business Credit
Towson, MD $120,000.00-$160,000.00 3 weeks ago Personal Financial Counselor - Air National Guard, Middle River, MD
Middle River, MD $53,125.00-$84,995.00 9 months ago Baltimore, MD $80,000.00-$110,000.00 2 weeks ago Columbia, MD $69,000.00-$89,000.00 1 month ago Columbia, MD $36,500.00-$125,000.00 1 week ago Columbia, MD $72,000.00-$100,000.00 1 month ago Baltimore, MD $49,500.00-$126,500.00 1 month ago J.P. Morgan Wealth Management - Private Client Advisor - Maryland (Multiple Locations)
Laurel, MD $92,000.00-$120,000.00 21 hours ago Baltimore, MD $71,500.00-$177,100.00 1 month ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr