Americas Market Conduct Regulatory Relations Director (AVP)

Morgan Stanley; Dallas (TX); On-site; USD 77,000 - 117,000; Full time

Job summary

Morgan Stanley in Dallas seeks a Director (AVP) in Legal & Compliance to coordinate regulatory exams and risk reviews for AMCRRG. You will help drive process improvements through documentation and technology and engage with regulators worldwide.

The role requires 7+ years in financial services regulation, strong written and oral communication, and leadership skills to manage global regulatory relationships.

Qualifications

• Bachelor degree required; JD or MBA a plus.
• 7+ years in banking or regulatory/compliance roles.
• Strong written and verbal communication with internal/external stakeholders.

Responsibilities

• Manage regulatory examinations and risk reviews end to end.
• Coordinate with SEC, CFTC, FINRA, NFA and other regulators.
• Maintain status updates and remediation plans with stakeholders.
• Prepare internal stakeholders for exams, meetings, and follow-ups.
• Foster proactive relationships with regulators and peers.
• Stay current on regulatory developments and market practices.

Skills

Regulatory communications

Stakeholder management

Planning and organization

Multitasking

Independent work

Strategic thinking

Leadership

Education

Bachelor's degree

JD/MBA

Job description

We’re seeking someone to join our team as a Director (AVP) in Legal and Compliance to 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 the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm’s management of legal, regulatory and franchise risk. This is an analyst/associate level position within the Regulatory Relations team.

The Americas Market Conduct Regulatory Relations Group (AMCRRG) provides strategic advice on supervisory matters and centralized management of the activities of the Firm's regulators and related developments globally, focusing on regulatory reviews and examinations and continuous monitoring activities. AMCRRG serves as the central point of contact with the supervisory market conduct regulators (e.g., SEC, CFTC) in the US to facilitate open, productive and proactive relationships. AMCRRG regularly apprises senior management of the Firm's market conduct regulatory relationships, including providing thought leadership.

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

What you'll do in the role:

• Front-to-back management of concurrent regulatory examinations and risk reviews, as well as the coordination of other ad hoc requests made by the SEC, CFTC, FINRA, NFA, state regulators and other exchanges
• Communicating with regulators regarding document requests, areas of review and potential findings;
• Ensuring stakeholders are 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 and risk review issues
• Advising on the appropriateness of regulatory responses and remediation plans
• Assisting with 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 other internal stakeholders for regulatory exam, risk review and ad hoc meetings
• 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
• Provide ad-hoc support on various Reg Relations initiatives, including across other Regulatory Relations regions / functions
• Partnering closely with internal stakeholders and senior management to ensure timely, accurate, and well-controlled responses to regulators.

What you'll bring to the role:

• Bachelor degree required. JD/MBA a plus
• 7+ years banking experience from a regulatory organization such as the FRB, OCC, FDIC or CFPB or in a similar position in the financial services industry or legal /compliance/regulatory background.
• 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 escalat[e] 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

Please note that the location listed for this role is temporary. The position’s work location will transition to 1445 Ross Ave, Dallas, TX 75202 at a future date. In-Person interviews will be required for the role.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that s differentiated - and we have done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren t just beliefs, they guide the decisions we make every day to do what s best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along the work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.

TX: Expected base pay rates for the role will be between $77,000 and $116,750 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

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.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.