Group Overview
The Global Regulatory Relations Group (Regulatory Relations) provides strategic and centralized management of the supervisory activities of the Firm's regulators and related developments globally, focusing on regulatory reviews and examinations and continuous monitoring activities. Regulatory Relations serves as the central point of contact with key supervisory regulators globally to facilitate open, cooperative and constructive relationships; provides advice and guidance on regulatory interactions and engagement; oversees responses to and commitments made to regulators; and apprises the Board, Senior Management, and relevant governance bodies and stakeholders of these matters and related significant regulatory developments. The Americas Market/Conduct Regulatory Relations Group is responsible for cycle, for cause and sweep examinations of Morgan Stanley's North American legal entities conducted by the Firm's securities, commodities, and swap dealer government regulators, their Self-Regulatory Organizations (SROs) and the exchanges.
Primary Responsibilities
- Directing and providing guidance for all aspects of regulatory examinations by the SEC, CFTC, FINRA, NFA, state regulators, and exchanges;
- Lead the coordination of the Firm's responses to requests for documents and information;
- Conducting analyses of relevant regulations and providing advice to internal stakeholders regarding potential regulatory risk;
- Preparing for and overseeing interviews and meetings between Firm employees and regulatory examiners;
- Communicating with regulators regarding document requests, areas of review and potential findings;
- Communicating with key stakeholders, including senior management in LCD, business, and risk regarding exam status and potential findings; and
- Providing advice and directing the Firm's formal responses to regulatory findings and assisting in the coordination of any remediation.
- This role will require in office attendance 3 days/week.
Skills Required
- 5+ years of relevant experience
- Excellent communication skills, both written and verbal essential
- Experience in the financial services industry, and/or a law firm, with compliance, regulatory or audit experience preferred
- Experience with institutional, investment management and retail business preferred
- Keen attention to detail
Experience With Regulators- SEC, CFTC, NFA, FINRA Preferred
- Ability to quickly grasp key concepts and take ownership of deliverables
- Ability to adapt and demonstrate flexibility with multiple priorities
- Comfortable coordinating multiple matters in a team setting
- This is a hybrid role with in office flexibility
Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.
It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).
Expected base pay rates for the role will be between $110,000.00 and $190,000.00 at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs..
Posting Date
Jun 18, 2024
Primary Location
Americas-United States of America-New York-New York
Education Level
Bachelor's Degree
Job
Other
Employment Type
Full Time
Job Level
Vice President