Americas Market Conduct Regulatory Relations Director (AVP)

Morgan Stanley•Dallas, TX

3d•$77,000 - $116,750•Onsite

About The Position

We’re seeking someone to join our team as a Director (AVP) in Legal and Compliance to support the Americas Market Conduct Regulatory Relations Group (AMCRRG) by coordinating regulatory exams, risk surveys and continuous monitoring activities and enabling process improvement through documentation and technology (including Teams, AI, and OpenPages). In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm’s management of legal, regulatory and franchise risk. The Americas Market Conduct Regulatory Relations Group (AMCRRG) provides strategic advice on supervisory matters and centralized management of the activities of the Firm's regulators and related developments globally, focusing on regulatory reviews and examinations and continuous monitoring activities. AMCRRG serves as the central point of contact with the supervisory market conduct regulators (e.g., SEC, CFTC) in the US to facilitate open, productive and proactive relationships. AMCRRG regularly apprises senior management of the Firm's market conduct regulatory relationships, including providing thought leadership. Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

Requirements

Bachelor's degree required
5+ years' experience supporting regulatory examinations, continuous monitoring, or issue remediation or experience with a regulatory organization such as the SEC, FINRA, CFTC, NFA
Ability to quickly learn key concepts, remain flexible, and adapt to shifting priorities.
Ability to work in a fast-paced environment and manage multiple workstreams concurrently.
Strong written and verbal communication, presentation, and interpersonal skills.
Demonstrated ability to collaborate in a team environment and work effectively with senior management and cross-functional stakeholders.
Strong quantitative and qualitative analytical skills, with the ability to synthesize information into clear summaries.
Excellent attention to detail and end-to-end ownership of deliverables.
Strong planning and organizational skills; ability to manage timelines, dependencies, and documentation.
Proficiency with Microsoft Office tools (Word, Excel, PowerPoint, Visio) and collaboration/content platforms (Teams, Zoom, SharePoint).
Working knowledge of AI tools and an interest in applying automation to improve reporting, documentation, and process execution
Demonstrated ability to work effectively with regulators
Strong relationship management skills

Responsibilities

Front-to-back management of concurrent regulatory examinations and risk reviews, as well as the coordination of other ad hoc requests made by the SEC, CFTC, FINRA, NFA, state regulators and other exchanges
Communicating with regulators regarding document requests, areas of review and potential findings
Partner with other members of the team and will be responsible for navigating, advising on, and executing all aspects of regulatory interactions with market conduct regulators and internal stakeholders.
Ensuring stakeholders are apprised of all key regulatory requests, meetings and areas of focus, including both the status and resolution
Maintaining a detailed understanding of the status of open examination and risk review issues
Advising on the appropriateness of regulatory responses and remediation plans
Assisting with regulatory meetings, including working with regulators on the agendas, preparation of internal stakeholders and materials, and the tracking and coordination of responses to follow-up requests
Preparing other internal stakeholders for regulatory exam, risk review and ad hoc meetings
Fostering proactive relationships with regulatory counterparts and internal key constituents
Keeping up-to-date on the Financial Services regulatory landscape, including trends and new rules
Provide ad-hoc support on various Reg Relations initiatives, including across other Regulatory Relations regions / functions