What are the responsibilities and job description for the SRU Quality Improvement Analyst position at Morgan Stanley?
The Quality Improvement Analyst (QIA) is a pivotal role within the Service Review Unit (SRU) Principal Review Department (PRD), dedicated to maintaining and enhancing the quality standards of a team of FINRA Registered Supervisors who are responsible for opening new accounts and conducting suitability reviews for option upgrades and other client profile changes. The QIA will ensure that all processes align with the highest standards of compliance and efficiency, working closely with SRU Management and various internal departments. The QIA will focus on consistently enhancing team quality standards by working alongside Specialists to ensure a thorough understanding of department and firm policies and procedures. Additionally, the QIA will take ownership of projects that impact the SRU, working with both internal and external partners to drive improvements and ensure successful outcomes.
Responsibilities Include
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.
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).
Responsibilities Include
- Reviewing oversight reports with a focus on quality, consistency, and compliance with firm and department policies and procedures.
- Providing constructive feedback to Associates/Specialists on identified process errors and considering Associate feedback upon challenges of process errors.
- Conduct performance meetings with Team Managers and Training Manager(s) to develop tailored quality improvement plans for individual Associates/Specialists and provide direct coaching as needed
- Participate in calibration meetings to ensure consistent error identification across QIA team
- Join and participate in team meetings to help promote consistency and culture
- Engage in cross-training and expand your expertise within the Morgan Stanley Account team in the 9/10 space to provide enhanced support to the quality team.
- Identify and provide solutions for opportunities to improve efficiencies and processes within the SRU, as well as identify areas that may require additional quality sampling
- Ability to handle a high volume of requests in a fast-paced environment across multiple time zones
- Project management with a focus on process improvement, efficiencies, and policy consistency
- Ability to stay current on SEC/FINRA, compliance, firm guidelines, and department policies and procedures with an ability to apply knowledge to ensure risk mitigation
- Some travel possible (up to twice per year)
- Other duties as assigned
- Demonstrated leadership capabilities, with previous management or supervisory experience being advantageous.
- Proficiency in Microsoft Office, particularly Excel and Outlook.
- Strong organizational skills, attention to detail, and critical thinking abilities.
- Excellent written and verbal communication skills.
- Ability to research and resolve escalated inquiries independently.
- Self-motivated and capable of thriving in a fast-paced environment.
- Bachelor’s degree or equivalent work experience.
- Series 7, 66 (or 65 and 63), and 9/10 or equivalent (Series 24 and Series 4 are considered equivalent).
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.
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).