Morgan Stanley Regulatory Relations Professional (Hybrid) in New York, New York
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), the exchanges and the states.
- Assisting with the management and coordination all aspects of regulatory examinations by the SEC, CFTC, FINRA, NFA, state regulators, and other exchanges
- Assisting with the preparation of responses to requests for documents and information
- In certain circumstances, takes a lead role in the coordination of review and responses to regulatory exam requests with relevant internal stakeholders
- Communicating with regulators regarding document requests
- Communicating with key stakeholders, including senior management in LCD, business, and risk regarding exam status and findings; and
- Maintaining and updating various internal key metrics and reporting for distributing to senior leadership
- Coordinating the tracking of remediation action plans in response to exam findings
- This role will require in office attendance 3 days/week.
- 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
- Ability to quickly grasp key concepts and take ownership of deliverable
- Ability to adapt and demonstrate flexibility with multiple priorities
- Comfortable coordinating multiple matters in a team setting
Expected base pay rates for the role will be between 85000 and 135000 per year 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.
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).
Title: Regulatory Relations Professional (Hybrid)
Location: New York-New York
Requisition ID: 3230886