We’re seeking someone to join our team as an Director in the Legal and Compliance Division.

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 Director level position within the Coverage Advisory team.
 

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:

• Reviewing and processing of Legal documents, including reviewing incoming client communications and identify those that meet the definition of a customer complaint.

• Analyze incoming customer complaints to identify problems and products and apply internal taxonomy codes based upon complaint allegations.

• Tracking Complaints including regulatory complaints as they are received by the Firm, including monitoring mailboxes for newly served Complaints

• Continue to enhance deep subject matter expertise in investment banking products and customer complaints handling

• Checking for previous related matters in the matter management system

• Running searches in Firm systems using various criteria

• Creating a new record for such matters in the Firm's matter management system

• Maintaining lifecycle in the matter management system - Oversee and manage full intake lifecycle, mailbox of customer complaints, ensuring complaints are tracked, logged, assigned within SLA's and regulatory timelines Assisting in accurately distributing incoming matters within and outside of the groups

• Handle escalated, high-value/profile sensitive complaints to ensure timely process and minimize any risk impact

• Supervise and maintain accurate customer complaints record and enforce complaints intake handling standards and escalation protocols

• Partner with internal teams including legal Operations Intake, production teams etc. to ensure appropriate flow of complaints intake and identify/implement recommendations

• Running reports in the Firm's matter management systems

• Collecting relevant information from the attorneys in the Litigation group in order to create such matters

• Communicate with the assigned attorney regarding matters

• Lead a team of complaints intake specialist, providing guidance, people management and mentoring

What you'll bring to the role:

• 5-8 years of experience for Director.

• Solid track record working in a professional environment.

• Prior experience with the review, analysis, FINRA regulatory coding and reporting of customer complaints preferred.

• Knowledge

• Familiarity with identifying legal documents, customer complaints and separating them from other correspondence

• Basic understanding and exposure of US Law and terminologies will be preferred

• Basic knowledge of products/services related to customer complaints, banking products and wealth management preferred

• Should exhibit comfort working with technology and the ability to learn and display proficiency on Firm's systems and programs

• Proficient with MS Office (Excel proficiency is required - specific focus on Excel macros)

• Knowledge of document automation, contract analysis and other LegalTech software an advantage

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 opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.