Director, U.S. Compliance & Regulatory Programs

474 MS Services Group, Inc.; Dallas (TX); On-site; USD 77,000 - 117,000; Full time

Benefits offered by this job

Employee benefits

Job summary

Morgan Stanley is seeking a U.S. ISG Core Compliance Professional - Director to support the Americas Compliance Lessons Learned and Training programs and partner across Legal & Compliance, Coverage, Business Units and Shared Services.

You will coordinate enforcement action learnings to strengthen programs and manage training delivery across regions. The role requires 5+ years in compliance or risk management, strong communication, and cross-functional collaboration.

Qualifications

• 5+ years of experience in compliance, legal, risk management or related control function.
• Effective written and verbal communication skills with seniors and business partners across regions.
• Demonstrates ability to build relationships and collaborate across departments.
• Strong organizational and multi‑workstream project management skills.
• Proactive, detail oriented with sound judgment and problem solving.

Responsibilities

• Coordinate identification, analysis and communication of lessons learned from regulatory actions.
• Support annual review of SEC, FINRA and NFA regulatory priorities for readiness.
• Oversee content development and delivery of mandatory training across business units.
• Coordinate training populations, monitor completion, and prepare management reporting.
• Manage annual regulatory certification processes including LM-10/Form 5500 verification and SEC Rule 15a-6.
• Maintain program documentation across SharePoint, Teams, and repositories.
• Identify opportunities to improve governance, reporting and efficiency through automation.
• Support gift & entertainment initiatives and monitoring.
• Assist with implementation of new regulatory requirements.

Skills

Regulatory compliance experience

Stakeholder communication

Project management

Attention to detail

MS Office proficiency

Tools

Excel

PowerPoint

Word

Teams

SharePoint

Job description

Morgan Stanley is seeking a U.S. ISG Core Compliance Professional - Director to support the Americas Compliance Lessons Learned and Training programs and partner across Legal & Compliance, Coverage, Business Units and Shared Services.

You will coordinate enforcement action learnings to strengthen programs and manage training delivery across regions. The role requires 5+ years in compliance or risk management, strong communication, and cross-functional collaboration.