Explore Legal.io
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Professionals within Legal and Compliance provide a wide range of services to our business units. They help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.
- VP or Director Level position within the Customer Complaint Intake Unit of Wealth Management Compliance.
- Prior experience with the review, analysis, FINRA coding and reporting of customer complaints is required.
- Communicate and respond to questions and inquiries from branch personnel and other Morgan Stanley Departments regarding customer complaints.
- Analyze incoming customer complaints to identify problems and products and apply internal taxonomy codes based upon complaint allegations.
- Create ad hoc reports using the complaints database when requested.
- High volume, dynamic position that requires detailed work completed in an efficient and timely manner. Well-developed writing and communication skills and the ability to prioritize and work independently are all key skills for this position.
Bachelor’s Degree along with relevant industry or branch level experience with Morgan Stanley, another financial institution or another retail broker dealer. Proficiency in Powerpoint and Excel required.
