Morgan Stanley
VP, Complaints Intake Manager
$95K–$170K
Dallas, Texas · On-site · Director · Full-time · Posted Sep 3, 2026
- Experience
- Typically, 8+ years' relevant experience would generally be expected.
About the job
Manages Morgan Stanley Smith Barney and E*TRADE complaints intake and processing, including quality control, procedures, team oversight, and regulatory responses.
What you'll do
- Oversee complaint intake, coding, categorization, routing, processing, and quality control to meet regulatory and Firm requirements.
- Supervise and develop team members, including assigning work, coaching, providing feedback, and managing performance.
- Maintain complaint-handling policies, procedures, and training; collaborate across teams and engage with regulators and senior leadership.
What they ask for
- Detailed knowledge of applicable FINRA, SEC, and consumer protection laws, rules, and regulations related to complaint intake and processing.
- Strong understanding of financial markets, broker-dealers, and banking products and services.
- Experience supervising and developing team members, including reviewing quality, coaching, and managing performance.
- Strong analytical, communication, judgment, and problem-solving skills.
Pay
$95,000 to $170,000 per year (base salary)
Tools
FINRA, MSRB, NFA, SEC
Model-written summary · the original posting is authoritative