Regulatory Inquiries Professional, Director

Primary Responsibilities

• Handle complex regulatory inquiries from an analysis of trading data and complex books and records requests
• Draft 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 ad hoc 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

Requirements

• At least a Bachelor's degree with minimum of 4-7 years' experience in Compliance, in a broker-dealer or regulatory environment, with experience in trading and markets, and Firm books and records
• Solid track record working in a professional environment

Qualifications

• 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
• Should exhibit 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

Benefits

Salary range for the position: $70,000 and $125,000 per year.

The successful candidate may be eligible for an annual discretionary incentive compensation award.

The successful candidate may be eligible to participate in the relevant business unit’s incentive compensation plan, which also may include a discretionary bonus component.

Morgan Stanley offers a full spectrum of benefits, including:

• 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

Please visit mybenefits.morganstanley.com to learn more about our benefit offerings.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents. Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.