Regulatory Inquiries Professional, Director

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

LCD comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations.

The Legal Department provides guidance, requirements and procedures for understanding and complying with the laws, regulations and Firm policies that apply to our businesses.

The Global Compliance Department identifies applicable Compliance Obligations and maintains a Firmwide Compliance Risk management program, including Compliance Risks that transcend business lines, legal entities and jurisdictions of operation.

Global Financial Crimes is responsible for the development and governance of the Firm's financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti-Money Laundering (AML), Sanctions, Anti-boycott, Anti-Corruption (ACG) and Government and Political Activities Compliance (GPAC) programs.

The Global Regulatory Relations Group (GRRG) is responsible for strategic and centralized management of the supervisory activities of Morgan Stanley's regulators and related developments globally, with a focus on regulatory reviews and examinations and continuous monitoring activities. GRRG serves as the central point of contact for the regulatory staff responsible for supervisory activities at Morgan Stanley entities and for timely reporting to Firm management and other governance or management bodies, as appropriate, on those relationships and supervisory processes, including areas of significant regulatory focus or concern.

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

The Regulatory Inquiries Group Regulatory professional's primary responsibilities include:
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Handle complex regulatory inquiries from an analysis of trading data and complex books and records requests to drafting responses to regulators
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Communicate with and maintain relationships with regulators
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Extract and analyze Firm books and records, primarily focusing on trading records and client documentation
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Work closely with business, operations, technology and Legal and Compliance Division (LCD) stakeholders on responding to regulatory inquiries
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Support adhoc requests/ projects as needed
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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

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At least a Bachelor's degree with 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
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Solid track record working in a professional environment

Knowledge

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

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve…