Americas Market Conduct Paralegal
About The Position
The Americas Market Conduct Regulatory Relations Group (AMCRRG) provides strategic advice on supervisory matters and centralized management of the activities of the Firm's market conduct regulators and related developments, focusing on regulatory examinations and continuous monitoring activities. AMCRRG serves as the central point of contact with the supervisory market conduct regulators in the US including the SEC, CFTC, FINRA, NFA and state securities regulator to facilitate open, productive and proactive relationships. The AMCRRG team is looking for an experienced program associate / paralegal to assist regulatory exam managers with their regulatory exams and continuous monitoring requests, as well other ad hoc projects, including across all Regulatory Relations regions / functions.
Requirements
- 3-5 years' experience supporting multiple staff members
- Proficiency with Microsoft Office tools (Word, Excel, PowerPoint, Visio) and collaboration/content platforms (Teams, Zoom, SharePoint).
- Ability to work in a fast-paced environment and manage multiple workstreams concurrently.
- Strong communication and interpersonal skills.
- Demonstrated ability to collaborate in a team environment
- Excellent attention to detail and end-to-end ownership of deliverables.
- Strong planning and organizational skills; ability to manage timelines, dependencies, and documentation.
Responsibilities
- prepare and review exam materials for production to regulators including but not limited to reformatting documents
- drafting response letters
- update and maintain exam tracking logs and exam folders
- search tracking logs for similar historic requests and findings
- Bates stamping
- facilitate sharing of exam-related documents via Teams and Intralinks
- review and redaction of sensitive info
- quality assurance review of documents
- maintenance of exam metrics and internal reporting
- meeting notes
- ad hoc Regulatory Relations projects / initiatives
Benefits
- commission earnings
- incentive compensation
- discretionary bonuses
- other short and long-term incentive packages
- other Morgan Stanley sponsored benefit programs
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
