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. This is an analyst/associate level position within the Regulatory Relations team. 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 degree required. JD/MBA a plus
7+ years banking experience from a regulatory organization such as the FRB, OCC, FDIC or CFPB or in a similar position in the financial services industry or legal /compliance/regulatory background.
Critical dependency on strong written and oral communication, presentation, and interpersonal skill to effectively interact with and influence internal and external stakeholders
Strong planning and organization skills
Ability to multitask, be flexible, manage to a deadline, adapt to change of priorities
Ability to work independently and effectively with both regulatory staff as well as senior firm personnel globally
Sound judgment in identifying risks in order to proactively escalate with the relevant senior management
Demonstrated ability to operate at a strategic level with capacity to engage with detail when necessary
Must be a self-confident leader possessing a collaborative and participatory management style. Professionalism, sensitivity, and discretion required

Nice To Haves

JD/MBA a plus

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
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
Partnering closely with internal stakeholders and senior management to ensure timely, accurate, and well-controlled responses to regulators.