Quality Assurance Manager (Service Review Unit), Vice President

Morgan Stanley•South Jordan, UT

23d•Hybrid

About The Position

The Quality Assurance Manager will lead the Quality program for a large organization processing high-volume, time-sensitive transactions across Morgan Stanley and ETRADE channels, including money movement, new account opening, account maintenance, and expense reimbursement. Initially focused on the Service Review Unit (SRU), the role will set the vision and strategy for a scalable, consistent quality sampling and oversight framework intended to expand across Field Services, Home Office, and other business areas. The leader will use macro analytics to identify trends, reduce defects, and drive closed-loop remediation across training, technology, and process. The role partners with SRU senior management and leaders across Field Services, Home Office, and other supported areas to provide daily oversight and continuously improve quality standards. It will build on the SRU Quality Improvement Analyst model of oversight reporting review, calibration, coaching, and process improvement ownership, adapting it to broader and evolving business requirements. The manager will define and execute an enterprise-scalable quality strategy, implement a single sampling and oversight solution, establish governance and reporting routines, standardize calibration, and implement risk-based sampling. The role will define quality metrics and dashboards, oversee daily quality activities, analyze systemic trends and root causes, and ensure the program remains current with SEC/FINRA requirements and firm and department policies. It will drive a closed-loop improvement model by identifying gaps, implementing interventions, partnering with managers and training leaders on improvement plans, coaching as needed, and validating sustained results. The position leads and develops a distributed, multi-site team across time zones, setting performance expectations and consistent standards while building accountability and morale. It also leads cross-functional process improvement and transformation, including AI-enabled efficiency initiatives such as intelligent sampling, automated defect detection, workflow automation, and enhanced reporting using firm-approved tools. The manager drives adoption of new QA methods and continuous improvement, influences stakeholders to deliver and verify remediation, represents SRU Quality in governance forums, and communicates quality trends, risks, impacts, and recommendations to leaders. The role is onsite hybrid in South Jordan, Utah, or Columbus, Ohio, and leads a multi-site team. Travel is expected up to four times per year.

Requirements

10+ years of relevant financial services experience in operations, brokerage servicing, transaction processing, quality/risk/controls, or closely related functions.
5+ years of people leadership experience, including leading managers and/or senior analysts.
Demonstrated success leading large teams across multiple sites in virtual and in-person environments.
Proven ability to lead large-scale projects or programs in a fast-paced environment, including process improvement and policy consistency initiatives.
Demonstrated ability to run a quality oversight program that includes oversight reporting review, calibration, coaching loops, and continuous improvement.
Strong understanding of operating risk and policy adherence in a regulated environment, including the ability to stay current on SEC/FINRA and firm/department policies and apply them to mitigate risk.
Highly effective written and verbal communication skills and the ability to influence stakeholders and drive outcomes.
Required registrations: Series 7; Series 63 and 65, or Series 66; and Series 9 and 10 or equivalent supervisory registrations (Series 24 and Series 4, as applicable).
Bachelor’s degree or equivalent work experience.
Ability to prioritize and handle multiple tasks under tight deadlines in a fast-paced environment.

Nice To Haves

Experience implementing and scaling a standardized sampling methodology across multiple products, functions, and lines of business, including Field Services, Home Office, or similarly diverse operating areas.
Demonstrated delivery of AI or automation initiatives in operations quality, risk, or controls.
Risk or compliance experience.
Proficiency with Microsoft Office Suite, including Excel, Outlook, PowerPoint, and Word.
Exposure to AI tools such as AI@MS or OpenAI within firm-approved usage, and automation tooling.
Experience with analytics or data tools such as Tableau, Power BI, SQL, Python, or SAS.
Advanced degree preferred.
Proactive, positive, self-motivated, goal-oriented, and collaborative approach.

Responsibilities

Define and execute an enterprise-scalable Quality strategy and implement a consistent sampling and oversight solution that can expand across SRU, Field Services, Home Office, and other lines of business.
Establish governance routines and reporting that support quality, consistency, and compliance with firm and department policies and procedures, including oversight reporting review.
Lead and standardize calibration practices to ensure consistent error identification across the QA organization.
Implement risk-based sampling that reallocates coverage in response to defect trends, business changes, and emerging risks.
Define QA success metrics and operating dashboards, including coverage, leakage, repeat defects, and time-to-remediate, and use them in weekly and monthly performance routines.
Oversee daily quality activities and outputs to ensure quality, consistency, and compliance with applicable policies and procedures.
Use macro analytics to identify systemic trends, emerging risks, and root causes, and translate findings into prioritized action plans and measurable outcomes.
Keep the Quality program current on SEC/FINRA requirements, compliance matters, firm guidelines, and department policies and procedures, applying that knowledge to risk mitigation.
Drive a closed-loop quality improvement model by identifying gaps, implementing interventions, and validating sustained improvement.
Partner with Team Managers and Training leadership to develop tailored quality improvement plans, and provide direct coaching as needed.
Identify and deliver solutions to improve SRU efficiency and processes, including recommending where additional sampling is needed.
Lead, develop, and motivate a distributed team across multiple sites and time zones; set performance expectations, develop talent, and establish consistent standards and culture.
Establish and enforce consistent defect taxonomy, severity, and documentation standards through calibration and auditability.
Lead cross-functional process improvement, efficiency, and policy consistency projects designed to scale across business areas.
Lead AI-enabled process efficiency improvements, including intelligent sampling, automated defect detection, workflow automation, and enhanced reporting using firm-approved tools.
Drive adoption of new QA methodologies by redesigning calibration, coaching, defect taxonomy, and reporting routines and maintaining consistent execution.
Build a culture of continuous improvement in which analysts are expected to propose enhancements as well as identify defects.
Engage and influence leaders across SRU, Field Services, Home Office, the broader firm, and external partners as needed to align stakeholders and deliver remediation actions.
Represent SRU Quality in governance forums and communicate quality trends, risks, and progress with clarity and executive presence.
Influence process, training, and technology leaders to prioritize and deliver remediation, and ensure actions are validated and sustained.
Quantify quality insights in terms of risk, client impact, and capacity, and recommend decisions.
Travel up to four times per year.