Regulatory Inquiries Professional, Director

Morgan Stanley•Baltimore, MD

About The Position

Morgan Stanley is a leading global financial services firm. The Legal, Compliance, Global Financial Crimes and Regulatory Relations (LCD) department provides guidance and manages compliance with laws, regulations, and firm policies. The Global Compliance Department manages a firmwide compliance risk program. Global Financial Crimes prevents financial crimes. The Global Regulatory Relations Group (GRRG) strategically manages global regulatory activities, focusing on examinations and continuous monitoring, serving as a central point of contact for regulators and reporting to firm management. This role is within Shared Services Compliance, specifically the Regulatory Inquiries Group, which handles regulatory inquiries primarily focused on market regulation.

Requirements

At least a Bachelor's degree
Minimum of 4-7 years' experience in Compliance, in a broker-dealer or regulatory environment
Experience in trading and markets, and Firm books and records
Solid track record working in a professional environment
Knowledge of SEC, FINRA, CME, CFTC and/or other SRO rules and regulations
Moderate to strong understanding of US Securities Trading and Markets, including a strong knowledge of financial securities products
Strong understanding of broker/dealer books and records
Understanding of legal documents and terminologies
Comfort working with technology and the ability to learn and display proficiency on Firm systems and programs
Strong proficiency with MS Office; with strong focus on Excel and Word
Practical use of Copilot or similar Generative AI

Responsibilities

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

Benefits

Medical
Prescription Drug
Dental
Vision
Health Savings Account
Dependent Day Care Savings Account
Life Insurance
Disability and Other Insurance Plans
Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and 20 Vacation Days annually)
10 Paid Holidays
401(k)
Short/Long Term Disability