Regulatory Inquiries Professional, Director

Shared Services Compliance – Regulatory Professional

The role is in Shared Services Compliance. This team handles regulatory inquiries primarily focused on market regulation.

• Handle complex regulatory inquiries from an analysis of trading data and complex books and records requests to drafting responses to regulators.
• Communicate with and maintain relationships with regulators.
• Extract and analyze Firm books and records, primarily focusing on trading records and client documentation.
• Work closely with business, operations, technology and Legal and Compliance Division (LCD) stakeholders on responding to regulatory inquiries.
• Support ad hoc requests/projects as needed.
• Liaise with technology team daily to discuss issues, address concerns, and facilitate projects related to the needs of the regulatory inquiries group and electronic blue sheet reporting experience.

• Minimum of 4-7 years' experience in Compliance, in a broker-dealer or regulatory environment, with experience in trading and markets, and Firm books and records.
• Solid track record working in a professional environment.

• Knowledge of SEC, FINRA, CME, CFTC and/or other SRO rules and regulations.
• Moderate to strong understanding of US Securities Trading and Markets, including a strong knowledge of financial securities products.
• Strong understanding of broker/dealer books and records.
• Understanding of legal documents and terminologies.
• Comfort working with technology and the ability to learn and display proficiency on Firm systems and programs.
• Strong proficiency with MS Office; strong focus on Excel and Word.
• Practical use of Copilot or similar Generative AI.

Salary range for the position: $70,000 to $125,000 per year. The successful candidate may be eligible for an annual discretionary incentive compensation award, as well as participation in the relevant business unit’s incentive compensation plan. Morgan Stanley offers a comprehensive benefits package, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability, Paid Time Off (including Sick Leave, Parental Leave and 20 Vacation Days annually), 10 Paid Holidays, 401(k), Short/Long Term Disability, and other special perks.

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Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect a strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents. For more information, please visit: