1,547 jobs for "Quality Compliance Manager"

Service Managers (SM) are responsible for shaping the future of service by modernizing our client experience by focusing on operational efficiency and oversight. The Service Manager (SM) will report directly to the Market Business Service Officer (MBSO) and is responsible for the supervision, management of Service Associates & Receptionists, and execution of all operational service functions within the assigned branches. These operational service functions include but are not limited to money movement, trade support and operational approvals. Additional job responsibilities include facilitating communication and training for Service Professionals, partner with Market Sales and Risk teams to ensure execution in all aspects of the business and further support the MBSO with delivering on service initiatives.

DUTIES and RESPONSIBILITIES

Operational Oversight

• Oversee and manage service transaction approvals and processes (e.g., trade supervision, money movement, document handling, cashiering, trading and account maintenance) and ensuring reporting, logs and files are maintained and actioned appropriately

• Oversee document handling by conducting quality assurance reviews on execution within operations area as well as the entire branch

• Lead select operational remediations within the team and ensure corrective action is taken before deadlines

• Ensure appropriate coverage across all branches assigned which may include travel to assigned branches (e.g., both within operations areas as well as offices with reception areas)

• Facilitate and manage resolution of client inquiries/requests

• Oversee various administrative efforts in the branch

• Ensure compliance with Firm policies and procedures by overseeing the execution of regular self audit testing and partnering with the Market Risk Officers on branch exams and corrective action plan implementation relating to the service organization

• Participate in national calls to learn about new platform changes, policy and procedure updates, share best practices and learn about other timely updates

• Identify and implement process improvements to ensure teams are maximizing productivity and driving efficiencies

• Administer other duties as delegated by the Market Business Service Officer

People Management and Communication

• Lead the Branch in executing the organization's strategic priorities by influencing and coaching behavioral change with a focus on consistency, quality, and compliance with Firm policies and procedures

• Lead, mentor, and supervise a team of Service Associates & Receptionists, including conducting one on-one meetings for coaching opportunities, career goal setting, job related activities, firm opportunities, and team building with direct reports

• Maintain strong relationships with key partners within the Branch, Market, Region and Home Office including participation in team meetings, regional and national calls

• Manage and oversee Service Associates & Receptionists responsible for operations within the branch

• Promote a branch culture that's consistent with the Firm's core values, including championing diversity and inclusion

EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS

Education and/or Experience

• Four-year college degree required or equivalent education

• Previous industry experience

• Active Series 7 (GS), Series 9 and Series 10 (SU), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) required

• Other licenses as required for the role or by management Knowledge/Skills

• Effective written and verbal communication skills

• Strong attention to detail

• Ability to prioritize and resolve complex needs and escalate as necessary

• Ability to identify issues and trends in order to anticipate change and provide comprehensive solutions and remedies

• Evidence of strong leadership and talent development capabilities

• Exceptional organizational and time management skills

• Exceptional conflict resolution skills

• Ability to manage relationships, motivate and lead groups of people at various levels throughout the market

• Knowledge of Firm's Risk & Compliance policies

• Ability to think strategically

Reports to

• Market Business Service Officer

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients - helping them reach their goals. We do it in a way that's differentiated - and we've done that for 90 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.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit : https://www.morganstanley.com/people-opportunities/eeo .

About Morgan Stanley

Morgan Stanley mobilizes capital to help governments, corporations, institutions and individuals around the world achieve their financial goals.

Size: 10,000+ employees
Industry: Financial Services

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