Regulatory Relations Vice President
About The Position
Morgan Stanley is seeking an experienced Vice President to support the Americas Market Conduct Regulatory Relations Group (AMCRRG). The role coordinates regulatory examinations, risk surveys, continuous monitoring activities, and process improvements through documentation and technology, including Teams, AI, and OpenPages. It also provides ad hoc support for Regulatory Relations initiatives across regions and functions. AMCRRG provides strategic advice on supervisory matters and centrally manages the Firm’s regulatory activities and related developments, focusing on regulatory reviews, examinations, and continuous monitoring. It serves as the central point of contact with U.S. supervisory market conduct regulators, including the SEC and CFTC, and keeps senior management informed about the Firm’s regulatory relationships. The position works closely with senior team members, internal stakeholders, and senior management to manage regulatory interactions, prepare accurate and well-controlled responses, and develop proactive relationships with regulators. It offers an opportunity to expand Financial Services knowledge, learn about the regulatory environment, and develop an understanding of key Firm processes and functions. The listed work location is temporary; the position will move to 1445 Ross Ave, Dallas, TX 75202 at a future date. In-person interviews are required.
Requirements
- Bachelor’s degree required.
- At least 7 years of experience with a regulatory organization such as the SEC, FINRA, CFTC, or NFA, or in a similar financial services role or legal, compliance, or regulatory background.
- Proficiency with Microsoft Office tools, including Word, Excel, PowerPoint, and Visio, and collaboration/content platforms including Teams, Zoom, and SharePoint.
- Strong written and oral communication, presentation, and interpersonal skills to interact with and influence internal and external stakeholders.
- Strong planning and organization skills.
- Ability to multitask, be flexible, manage deadlines, and adapt to changing priorities.
- Ability to work independently and effectively with regulatory staff and senior firm personnel globally.
- Sound judgment in identifying risks and proactively escalating them to relevant senior management.
- Demonstrated ability to operate strategically while engaging with detail when necessary.
- Self-confident leadership and a collaborative, participatory management style.
- Professionalism, sensitivity, and discretion.
Nice To Haves
- JD or MBA.
Responsibilities
- Strategically manage concurrent complex regulatory examinations from end to end and coordinate other ad hoc regulatory requests.
- Evaluate regulatory risks arising from interactions and advise management on appropriate actions.
- Keep senior management informed about key regulatory requests, meetings, areas of focus, status, and resolution.
- Maintain detailed knowledge of open examination issues and advise and challenge internal stakeholders on resolution.
- Advise on the appropriateness of regulatory responses and remediation plans.
- Lead regulatory meetings, including developing agendas with regulators, preparing internal stakeholders and materials, and tracking and coordinating responses to follow-up requests.
- Prepare senior management and other internal stakeholders for regulatory examinations, continuous monitoring, and ad hoc meetings.
- Attend committee meetings and working groups and provide updates on relevant regulatory matters or guidance on remediation activities.
- Foster proactive relationships with regulatory counterparts and key internal constituents.
- Stay current on the Financial Services regulatory landscape, including trends and new rule development.
- Provide ad hoc support for Regulatory Relations initiatives across other regions and functions.
- Coordinate regulatory exams, risk surveys, and continuous monitoring activities, and enable process improvements through documentation and technology.
Benefits
- Comprehensive employee benefits and perks.
- Potential commission earnings, incentive compensation, discretionary bonuses, and other short- and long-term incentive packages, depending on the position.
- Opportunity to move across the business.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
