Quality Assurance Manager (Service Review Unit), Vice President

Morgan Stanley•South Jordan, UT

24d•Hybrid

About The Position

The Quality Assurance Manager will lead the Quality program for 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 establish a scalable, consistent Quality sampling and oversight framework intended to expand across Field Services, Home Office, and other business areas. The role uses macro analytics to identify trends, reduce defects, and drive closed-loop remediation across training, technology, and process. It partners with SRU Senior Management and leaders across supported areas to provide daily oversight and continuously improve quality standards. The manager will build on and adapt the SRU Quality Improvement Analyst (QIA) model, including oversight reporting review, calibration, coaching, and process improvement ownership. This leader manages and develops a distributed, multi-site team; establishes governance, metrics, sampling, calibration, and reporting practices; and leads cross-functional transformation and AI-enabled efficiency initiatives. The role represents SRU Quality in governance forums and communicates quality trends, risks, and progress to stakeholders and executives. It is onsite hybrid in South Jordan, Utah, or Columbus, Ohio, with travel expected up to four times per year.

Requirements

10 or more years of relevant financial services experience in operations, brokerage servicing, transaction processing, quality/risk/controls, or closely related functions.
5 or more years of people leadership experience, including leading managers and/or senior analysts.
Demonstrated success leading large teams across multiple sites, both virtually and in person.
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 ability to stay current on SEC/FINRA and firm/department policies and apply them to mitigate risk.
Highly effective written and verbal communication skills, with the ability to influence stakeholders and drive outcomes.
Series 7 license.
Series 63 and Series 65, or Series 66.
Series 9 and Series 10, or equivalent supervisory registrations (Series 24 and Series 4, as applicable).
Bachelor’s degree or equivalent work experience.
Ability to lead a multi-site team; the role is onsite hybrid in South Jordan, Utah, or Columbus, Ohio.
Ability to travel up to four times per year.

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.
Proactive, positive, self-motivated, goal-oriented team player able to prioritize and handle multiple tasks under tight deadlines in a fast-paced environment.
Advanced degree preferred.
Microsoft Office Suite experience, including Excel, Outlook, PowerPoint, and Word.
Experience with AI tools such as AI@MS or OpenAI within firm-approved usage, or exposure to automation tooling.
Analytics and data skills or tools such as Tableau, Power BI, SQL, Python, or SAS.

Responsibilities

Define and execute an enterprise-scalable Quality strategy, including a single sampling and oversight solution that can support SRU, Field Services, Home Office, and additional lines of business.
Establish governance routines and reporting that promote 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 based on 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 oversight activities and outputs, ensuring 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 to support 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 on 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 required.
Lead, develop, and motivate a distributed team across multiple sites and time zones; set performance expectations, develop talent, and foster morale, accountability, and consistent standards.
Establish and enforce consistent defect taxonomy, severity, and documentation standards through calibration and auditability; coach in the moment and address persistent non-adoption.
Lead large-scale cross-functional projects focused on process improvement, efficiency, and policy consistency, with solutions designed to scale across supported business areas.
Lead AI-enabled process efficiency improvements, including intelligent sampling, automated defect detection, workflow automation, and enhanced reporting, using firm-approved AI tools.
Drive adoption of new QA methodologies by redesigning calibration, coaching, defect taxonomy, and reporting routines and holding teams accountable for consistency.
Engage and influence leaders across SRU, Field Services, Home Office, and the broader firm, as well as external partners as needed, to align on 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 the risk, client, and capacity impact of quality findings and recommend decisions.
Travel up to four times per year.