Americas Market Conduct Vice President

Morgan Stanley•Dallas, TX

2d•$120,000 - $210,000•Onsite

About The Position

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 addition, person will provide ad-hoc support on various Reg Relations initiatives, including across other Regulatory Relations regions / functions. This role partners closely with internal stakeholders and senior management to ensure timely, accurate, and well-controlled responses to regulators. The AMCRRG team is looking for an experienced Vice President level professional to join our team. This individual will work closely with the senior members of the team and will be responsible for navigating, advising on, and executing all aspects of regulatory interactions with market conduct regulators and key internal stakeholders. This role provides an excellent opportunity for an individual looking to expand their Financial Services knowledge, learn more about the Regulatory environment and develop a good understanding of key Firm processes and functions.

Requirements

Bachelor degree. JD/MBA a plus
7-10 years' experience with a regulatory organization such as the SEC, FINRA, CFTC, NFA, or in a similar position in the financial services industry or legal/compliance/regulatory background.
Proficiency with Microsoft Office tools (Word, Excel, PowerPoint, Visio) and collaboration/content platforms (Teams, Zoom, SharePoint).
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 strategic management of concurrent complex regulatory examinations, as well as the coordination of other ad hoc requests made by regulators
Evaluating regulatory risks arising from interactions and advising management on the appropriate plan of action
Ensuring senior management is 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 issues and providing advice and challenge to internal stakeholders on resolution
Advising on the appropriateness of regulatory responses and remediation plans
Leading 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 senior management and other internal stakeholders for regulatory exam, continuous monitoring and ad hoc meetings
Attending committee meetings and workings groups and providing updates on relevant regulatory matters and/or guidance on remediation activities
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 development
Provide ad-hoc support on various Reg Relations initiatives, including across other Regulatory Relations regions / functions