Quality Assurance Manager (Service Review Unit), Vice President

The Quality Assurance Manager will lead the Quality program for a large organization processing high-volume, time-sensitive transactions across Morgan Stanley and E*TRADE channels, including money movement, new account opening, account maintenance, and expense reimbursement. While initially grounded in the Service Review Unit (SRU), this leader will set the vision and strategy for a scalable, consistent Quality sampling and oversight framework designed to expand across Field Services, Home Office, and other business areas.

The role will leverage macro analytics to identify trends, reduce defects, and drive closed-loop remediation across training, technology, and process. The role partners closely with SRU Senior Management and leaders across Field Services, Home Office, and other supported areas to provide daily oversight and continuously improve quality standards. This leader will build on the SRU Quality Improvement Analyst (QIA) model of oversight reporting review, calibration, coaching, and process improvement ownership, adapting the model as needed to support broader and evolving business requirements.

What you’ll do in the role

Quality Strategy, Governance & Scalable Sampling

Define and execute an enterprise-scalable Quality strategy, including implementation of a single scalable sampling/oversight solution that can support SRU, Field Services, Home Office, and additional lines of business as scope expands.

Establish governance routines and reporting that drive 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 dynamically reallocates coverage based on defect trends, business changes, and emerging risks to maximize coverage without increasing staffing.

Define QA success metrics and operating dashboards (coverage, leakage, repeat defects, time-to-remediate) and use them to drive weekly/monthly performance routines.

Oversight, Trend Analytics & Risk Mitigation

• •Oversee daily quality oversight activities and outputs, ensuring quality, consistency, and compliance with firm/department policies and procedures.
• •Use macro analytics to identify systemic trends, emerging risks, and root causes ; translate insights into prioritized action plans and measurable outcomes.
• •Ensure the Quality program stays current on SEC/FINRA, compliance, firm guidelines, and department policies and procedures, applying that knowledge to support risk mitigation.
• •Coaching Loop, Training/Tech Gap Closure & Continuous Improvement
• •Drive a closed-loop quality improvement model: identify gaps, implement interventions, and validate sustained improvement.
• •Partner with Team Managers and Training leadership to develop tailored quality improvement plans; provide direct coaching as needed.
• •Identify and deliver solutions to improve efficiency and processes within SRU, including recommending where additional sampling is required.

Coaching Loop, Training/Tech Gap Closure & Continuous Improvement

• •Drive a closed-loop quality improvement model: identify gaps, implement interventions, and validate sustained improvement.
• •Partner with Team Managers and Training leadership to develop tailored quality improvement plans; provide direct coaching as needed.
• •Identify and deliver solutions to improve efficiency and processes within SRU , including recommending where additional sampling is required.

Leadership, Culture & Multi-Site People Management

Lead, develop, and motivate a distributed team across multiple sites/time zones ; build strong morale and accountability in a fast-paced environment.

Set clear performance expectations, develop talent, and ensure consistent standards and culture through active engagement in team routines.

Establish clear non-negotiables for consistency (defect taxonomy, severity, documentation standards) and hold the organization accountable through calibration and auditability.

Build a high-performance culture: set expectations, inspect what you expect, coach in the moment, and address persistent non-adoption.

Change, Transformation & AI-Enabled Efficiency

Lead large-scale, cross-functional projects focused on process improvement, efficiency, and policy consistency, with solutions designed to scale across SRU, Field Services, Home Office, and other business areas.

Serve as a visible leader in AI-enabled process efficiency improvemen ts (e.g., intelligent sampling, automated defect detection, workflow automation, and enhanced reporting), including use of firm-approved AI tools.

Drive adoption of new QA methodologies by redesigning routines (calibration, coaching, defect taxonomy, reporting) and holding the line on consistency.

Build a culture of continuous improvement and “challenge the status quo,” where analysts are expected to propose enhancements—not just find defects.

Stakeholder Management & Executive Communication

Engage and influence leaders at all levels across SRU, Field Services, Home Office, and the broader firm (and external partners as needed), driving alignment and timely delivery of remediation actions as the program’s scope expands.

Represent SRU Quality in governance forums; communicate quality trends, risks, and progress with clarity and executive presence, consistent with Morgan Stanley role formats that emphasize metrics/reporting, stakeholder engagement, and change leadership.

Influence process, training, and technology leaders to prioritize and deliver remediation; ensure actions are validated and sustained (closed-loop verification).

Communicate insights: quantify impact (risk, client, capacity) and recommend decisions.

What we’re looking for -

Mandatory Qualifications

Experience

• •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 (virtual and in-person).
• •Proven ability to lead large-scale projects/programs in a fast-paced environment, including process improvement and policy consistency initiatives.

Quality / Risk / Controls

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; ability to stay current on SEC/FINRA and firm/department policies and apply them to mitigate risk.

Communication & Influence

Highly effective written and verbal communication skills; ability to influence stakeholders and drive outcomes.

Licenses and Registrations (Required)

Series 7

Series 63 and 65 OR Series 66

Series 9 and 10 or equivalent supervisory registrations (Series 24 and Series 4, as applicable)

Preferred Qualifications

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/automation initiatives in operations quality, risk, or controls.

Risk or compliance experience.

Strong team player who is proactive, positive, self-motivated, and goal-oriented; ability to prioritize and handle multiple tasks under tight deadlines in a fast-paced environment.

Tools / Technical Skills (Nice to Have)

• •Microsoft Office Suite: (Excel, Outlook, PowerPoint, Word)
• •AI tools: AI@MS / OpenAI (within firm-approved usage), automation tooling exposure
• •Analytics / Data: Tableau, Power BI, SQL, Python, SAS

Education

Bachelor’s degree required (or equivalent work experience)

Advanced degree preferred