Bank Complaint Supervisor

  • Competitive
  • Baltimore, MD, USA
  • Permanent, Full time
  • Morgan Stanley USA
  • 15 Oct 18

Bank Complaint Supervisor

Company Profile

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Department Profile

Professionals within Legal and Compliance provide a wide range of services to our business units. They help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.

Job Description

  • Supervise other attorneys' handling of bank-related customer complaints while maintaining an independent caseload. Assign and oversee the assignment of bank-related complaints, including working with the legal intake group to review new bank related matters for appropriate assignment and handling.
  • Work closely with the bank's legal, risk and compliance groups on complaint handling and related reporting. Interface with appropriate business groups regarding complaints and their status Work closely with coverage and litigation attorneys as needed on bank-related litigations and other matters.
  • Advise on proposed changes to complaint policies and procedures. Review for potential complaint trends and escalate as appropriate. Handle a case load of bank-related complaints, including: investigate and respond to complaints; coordinate with subject matter experts to identify applicable rules identify applicable banking, regulatory and other legal issues implicated by complaints; negotiate settlements and draft related agreements where appropriate; and gather information and reports related to regulatory inquiries in coordination with subject matter experts.



  • Must be licensed attorney in good standing. - Must be well-versed in banking regulations and consumer protection laws, including the Truth in Lending Act, Equal Credit Opportunity Act, Unfair, Deceptive or Abusive Acts and Practices ("UDAAP"), Regulation U and Regulation W. - Thorough understanding of the regulatory framework applicable to federally chartered banks - Ability to supervise attorneys and interact in a mature and professional manner with colleagues and Firm clients -Must have excellent written and verbal communication skills, attention to detail, strong time management skills - Some knowledge of wealth management business activities that involve banking products