Sign up to access all features of our service.
  • Job search
  • Favorites
  • Create a CV
    New
  • Salaries
  • Subscriptions

VP, Complaints Intake & Regulatory Compliance

Morgan-Stanley

Morgan Stanley is seeking a Complaints Intake Manager in Wealth Management Compliance to lead the intake, coding, quality control, policies, and regulator responses for the Morgan Stanley Smith Barney and E*TRADE complaints program. This Vice President level role focuses on advisory guidance to the Wealth Management Field, overseeing a team and coordinating with Compliance, Legal, Risk, Operations, and Customer Service to ensure timely and compliant complaint handling. #J-18808-Ljbffr Morgan-Stanley

Vacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the VP, Complaints Intake & Regulatory Compliance in Dallas, TX vacancy
  • $95k - $170k

    We’re seeking someone to join our team as a Complaints Intake Manager in Wealth Management Compliance to be responsible for the management of the Morgan Stanley...  ...and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Vice President level... 
    Complaints
    Temporary work

    Morgan-Stanley

    Dallas, TX
    4 days ago
  • $140k - $165k

     ...or an alternative application process. VP of Compliance Full Time Dallas, TX, US Salary Range:...  ..., advises executive leadership on regulatory and compliance risks, and partners with...  ...distribution partners. Consumer and regulatory complaints. Oversee the investigation and... 
    Complaints
    Full time
    Relocation package

    Liberty Bankers Insurance Group

    Dallas, TX
    2 days ago
  • $135k - $165k

     ...investing with confidence and innovation.\nJob Summary\nThe VP, Futures Regulatory Compliance will support the firm’s futures and derivatives...  ...job posting scam, you should report it to your local FBI field office or to the FBI’s Internet Crime Complaint Center.... 
    Complaints
    Contract work
    Work at office
    Local area

    moomoo

    Dallas, TX
    20 days ago
  • Our client is seeking a VP Compliance to lead and oversee its insurance compliance program across...  ...will advise executive leadership on regulatory risk, lead the Compliance function, and...  ...regulatory examinations, and consumer complaints Experience overseeing advertising,... 
    Complaints

    Oliver James Group

    Dallas, TX
    3 days ago
  •  ...Vice President, Quality Assurance and Regulatory Affairs - Sarnova - Dallas, TX Job Description...  ...impact on patient safety, regulatory compliance, product quality, operational...  ...production controls, process validation, CAPA, complaint handling, supplier quality, and... 
    Complaints
    Contract work

    Sarnova HC, LLC

    Dallas, TX
    4 days ago
  •  ...expectations of our customers, and stakeholders, while maintaining compliance with regulatory guidance. Officer position designated by the Board of...  ..., aid in resolution when necessary, and report consumer complaints, tracking for trends. Manage/Supervise compliance and... 
    Complaints
    Bank staff

    State Bank of Texas

    Irving, TX
    11 days ago
  •  ...budget performance through higher level negotiating strategies. The VP will create demand for SBM services by identifying, tracking,...  ...evaluations; rewarding and disciplining employees; addressing complaints and resolving problems. Ensure employees are properly trained on... 
    Complaints
    Local area

    SBM Management Services, LP

    Dallas, TX
    3 days ago
  • $2,000 per month

     ...motivated Part-Time Community Liaison / Intake Coordinator to represent our hospice agency...  ...chart updates and pending items. Compliance and Ethical Marketing Follow all Millenia...  ...compliance concerns, referral concerns, patient complaints, or facility concerns immediately to the... 
    Complaints
    Part time
    Work at office
    Immediate start
    Remote work
    Work from home
    Home office
    Flexible hours

    Millenia Hospice

    Dallas, TX
    5 days ago
  •  ...handling visitor and patient feedback, including complaints, grievances, compliments and suggestions, from intake to timely resolution. The role requires a...  ...investigations, write response letters, ensure CMS regulatory compliance, and work with clinical #J-18808-Ljbffr... 
    Complaints

    Parkland Community Health Plan

    Dallas, TX
    3 days ago
  •  ...Important: Regulatory Compliance Role — Not IT or CybersecurityThis position requires deep, hands-on expertise in consumer debt...  ...delivery, and call recording disclosures.Own the consumer complaint management system: intake, classification, root-cause analysis, and remediation... 
    Complaints

    Trusting Social & Kompato AI

    Dallas, TX
    4 days ago
  •  ...house legal officer within a healthcare MSO, guiding strategic, regulatory, and governance matters across the enterprise. You will...  ...leadership and the Board to align legal strategy with growth and compliance. You will oversee corporate governance, contracts, physician agreements... 
    Remote job

    E.N.T. Specialty Partners

    Dallas, TX
    4 days ago
  • Morgan Stanley is seeking a Vice President Compliance Testing to design and execute regulatory and compliance-based reviews across Institutional Equities, Fixed Income, Commodities, Prime Brokerage, Investment Banking, Research and Operations. You will lead testing efforts... 

    Morgan Stanley

    Dallas, TX
    2 days ago
  • Oliver James Group is seeking a strategic VP Compliance to lead and oversee the insurance compliance program across life, annuity, Medicare...  ...health products. You will advise executive leadership on regulatory risk, direct the Compliance function, and partner with business... 

    Oliver James Group

    Dallas, TX
    2 days ago
  • Futu Holdings Limited in the United States seeks a VP of Regulatory Reporting to lead the firm’s regulatory reporting program, ensuring SEC/FINRA/CFTC/NFA compliance and strong internal controls across U.S. entities. The role partners with Finance, Compliance, Operations... 

    Futu Holdings Limited

    Dallas, TX
    3 days ago
  • Morgan Stanley is seeking a Bank Compliance - ISG Coverage Officer in the U.S. Banks Non-Financial Risk space to serve as a subject matter...  ..., monitoring, trainings and risk assessments to support regulatory compliance across institutional businesses. Ideal candidates hold... 

    Morgan-Stanley

    Dallas, TX
    2 days ago
  • $14.5 - $16.5 per hour

     ...Intake Specialist (Client Service - Sales)Heard and Smith, LLP was founded on the principles of compassion, humility and the relentless...  ...detailed documentation of client interactions, concerns, and complaints in a paperless database systemUse good judgment to discern what... 
    Complaints
    Hourly pay
    Remote work
    Work from home
    Home office

    Heard & Smith

    Dallas, TX
    4 days ago
  •  ...Description Job Description Vice President of Compliance Hospice | Nationwide (Midwest...  ...multi-market hospice provider seeking a VP of Compliance to lead clinical...  ...the CEO, this leader will oversee hospice regulatory compliance, Medicare compliance, survey... 
    Local area

    Full Spectrum Staffing

    Dallas, TX
    15 days ago
  •  ...property operating company and regulatory matters. This position will...  ..., including, consumer complaints, demand letters, threatened...  ...property management, operations, compliance, communications, and leadership...  ...matters, including claim intake, coverage analysis, coordination... 
    Complaints
    Work at office
    Local area
    Relocation
    Flexible hours

    Evergreen Residential Care

    Dallas, TX
    1 day ago
  •  ...retention program and manage a 25-30 person team of loyalty, retention, and complaints specialists. This role reports to the Sr. Director, Customer Care and will oversee escalations, regulatory compliance, and SLA management across the customer journey. The ideal candidate... 
    Complaints

    2240 Service Experts Heating & AC LLC

    Richardson, TX
    2 days ago
  • A leading insurance distribution company in Dallas is looking for a Regulatory Analyst to manage consumer complaints and inquiries. The role involves analyzing regulatory actions, ensuring compliance with insurance regulations, and reviewing marketing materials. The ideal... 
    Complaints
    Full time

    Integrity

    Dallas, TX
    2 days ago
  • RavenTek Solution Partners LLC seeks a Compliance Review Attorney to support federal compliance, regulatory review, and case evaluation for a government customer. The role analyzes complaints and supporting docs to determine dispositions while adhering to laws and policies... 
    Complaints

    Raventek Solution Partners LLC

    Dallas, TX
    2 days ago
  • $26 per hour

     ...Courts & Appeals System (ECAS), and ensure compliance with court deadlines and procedural...  ...applications; Draft initial templates of complaints, motions, briefs, summons, and discovery...  ...quarterly reports; Conduct detailed client intake interviews, gather biographical... 
    Complaints

    Muslim Legal Fund of America

    Richardson, TX
    5 days ago
  • The Insurance Compliance & Regulatory Senior Lead in Dallas is a remote, full-time senior role focused on handling the toughest customer complaints and official responses to state departments and carrier partners. A strong candidate has years of hands-on regulatory compliance... 
    Complaints
    Remote job
    Full time

    present of AI

    Dallas, TX
    2 days ago
  •  ...insurance organization to identify an experienced Compliance Analyst II to join its compliance team. This role will support a broad range of regulatory and compliance activities, including state filings, regulatory research, complaints, investigations, advertising, regulatory... 
    Complaints
    Contract work

    Oliver James Group

    Dallas, TX
    3 days ago
  • $130k - $150k

     ...prepared and ready for successful regulatory agency inspections (NSPIRE,...  ...collections, marketing, HUD compliance regulations, evictions, etc....  ...most sensitive inquires or complaints verbally in-person and by phone...  ...properties within the VP’s portfolio, and site visits... 
    Complaints
    Full time
    Local area
    Relocation
    Relocation package
    Shift work
    Afternoon shift
    Weekday work

    Pratum Companies

    Dallas, TX
    2 days ago
  • A private equity investment firm seeks a Vice President of Compliance to oversee regulatory compliance and build a best-in-class compliance infrastructure. The role requires 5+ years of compliance experience, including working directly with the SEC. The ideal candidate... 

    Tyree and D'Angelo Partners

    Dallas, TX
    4 days ago
  •  ...Vice President, Compliance and BSA Compliance About the Company Flourishing community...  ...related laws, internal policies, and federal regulatory expectations. This role involves staying...  ..., and providing training to staff. The VP/BSA Compliance Officer will also lead... 

    Confidential

    Dallas, TX
    4 days ago
  • A private equity investment firm in Dallas seeks a hands-on Vice President of Compliance to oversee its regulatory compliance program. The role demands over five years of compliance experience, preferably with SEC-registered firms, and a demonstrated ability to scale compliance... 

    Tdpfund

    Dallas, TX
    4 days ago
  •  ...Vice President of Compliance & Quality, Home Health & Hospice About the Company Well-established home health and hospice organization improving clinical quality and regulatory compliance. Industry Hospital & Health Care Type Privately Held About the... 

    Confidential

    Dallas, TX
    4 days ago
  • $108k - $162k

     ...Banks Non-Financial Risk on our Deposits Compliance team to support the rapidly growing...  ...overseeing the Firm's management of legal, regulatory and franchise risk. This is a Vice...  ...procedures and training, support of testing, complaints and core teams. Product types include,... 
    Complaints
    Full time
    Temporary work

    Morgan Stanley

    Dallas, TX
    1 day ago

Do you want to receive more vacancies?

Subscribe and receive similar vacancies to VP, Complaints Intake & Regulatory Compliance. Be the first to apply!