Regulatory Relations Vice President

Morgan Stanley•Dallas, TX

17h

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, and continuous monitoring activities, while enabling process improvement through documentation and technology such as Teams, AI, and OpenPages. It also provides ad hoc support for Regulatory Relations initiatives across regions and functions. The position works closely with senior team members, internal stakeholders, and senior management to navigate, advise on, and execute regulatory interactions with market conduct regulators and key internal stakeholders. Responsibilities span strategic management of complex regulatory examinations, assessment of regulatory risks, oversight of responses and remediation plans, and preparation for regulatory meetings. The role helps ensure responses to regulators are timely, accurate, and well controlled. AMCRRG provides strategic advice on supervisory matters and centrally manages the Firm’s interactions with regulators and related developments, focusing on regulatory reviews, examinations, and continuous monitoring. It serves as the central point of contact with US supervisory market conduct regulators, including the SEC and CFTC, and keeps senior management informed about the Firm’s regulatory relationships. The location listed for the role is temporary. The work location will transition 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 a 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, remain 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.
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

Coordinate regulatory examinations, risk surveys, continuous monitoring activities, and other regulator requests.
Strategically manage concurrent, complex regulatory examinations from start to finish.
Evaluate regulatory risks arising from interactions and advise management on appropriate actions.
Keep senior management apprised of key regulatory requests, meetings, areas of focus, status, and resolution.
Track 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 setting agendas with regulators, preparing internal stakeholders and materials, and coordinating responses to follow-up requests.
Prepare senior management and other stakeholders for regulatory examinations, continuous monitoring, and ad hoc meetings.
Attend committee meetings and working groups and provide updates on regulatory matters or guidance on remediation activities.
Foster proactive relationships with regulatory counterparts and key internal constituents.
Monitor developments in the financial services regulatory landscape, including trends and new rules.
Support ad hoc Regulatory Relations initiatives, including those across other regions and functions.
Improve processes through documentation and technology, including Teams, AI, and OpenPages.