Katie Robertson

About Katie Robertson

Wealth Management Licensed Principal Compliance Reviewer committed to utilizing 20+ years of Customer service experience, 5 years of leadership experience, and a passion for helping clients within the financial industry. Licenses held: FINRA Series 9/10, Series 66, Series 7, SIE

Experience

1. Assistant Vice President Principal Reviewer Complaints

   Morgan Stanley

   Oct 2024 — Present · Tampa, FL, US

   Serve as a subject matter expert in complaint handling, de-escalation strategies, and account remediation for high-risk and sensitive matters•Coach service agents and managers on managing difficult, emotionally charged, and complex client interactions, with a focus on risk reduction, client experience, and regulatory alignment•Provide real-time and post-review guidance on call handling, tone, escalation management, and remediation approaches to prevent repeat complaints•Lead complex regulatory complaint reviews to ensure compliance with SEC, FINRA, and firm policies•Draft, review, and issue formal written client and branch responses to complaints, ensuring regulatory accuracy, risk mitigation, and clear, defensible communication aligned with firm and regulatory standards•Review and research escalated and high-exposure complaints involving agent conduct, supervision, suitability, and disclosure•Partner closely with the Wealth Management Complaints Intake team to assess reportability and regulatory thresholds•Partner cross-functionally with Legal, Risk, Supervision, and Business Management to drive consistent outcomes•Provide guidance, quality oversight, and mentorship to reviewers to support team accuracy and development•Contribute to process improvements, quality assurance initiatives, and regulatory readiness efforts

Education

• Marshall University

  English Language and Literature/Letters

  2010 — 2011

• Southern West Virginia Community and Technical College

  Associate of Arts and Sciences (AAS), Graphic Communications

  2007 — 2008

• West Virginia University Institute of Technology

  Bachelor of Arts (BA), Business & Creative Arts

  2009 — 2011

• WVU Tech CTC

  Associate of Science (AS), Printing Management

  2008 — 2009

Skills

• Image Manipulation
• Photos
• Wedding Photography
• Photography
• Portrait Photography
• Photoshop
• Microsoft Word
• Guest Recovery
• Conflict Resolution
• Digital Photography
• Image Editing
• Lightroom
• Mac
• Event Photography
• Adobe Creative Suite
• Studio Photography
• Graphic Communication
• Indesign
• Portraits
• Photojournalism
• Creative Direction
• Creativity
• Paper Craft
• Screen Printing
• Offset Printing
• Bindery
• Writing
• Creative Writing
• Behavior Management
• Classroom Management
• Non-Violent Crisis Intervention
• English
• Cash Handling
• Social Media
• Nikon Dslr
• Canon Dslr
• Public Speaking
• Microsoft Excel
• Microsoft Office
• Adobe Photoshop