Regulatory Inquiries Professional, Director

PowerToFly; Baltimore (MD); On-site; USD 70,000 - 125,000; Full time

Benefits offered by this job

Health insurance

401(k)

20 Vacation Days annually

Paid Holidays

Job summary

Morgan Stanley is seeking a Regulatory Inquiries Group professional to manage complex regulatory inquiries and maintain relationships with regulators. The role is critical in analyzing trading data and responding to regulatory inquiries.

Applicants should possess a Bachelor's degree and 4-7 years of compliance experience in a broker-dealer environment, with strong knowledge of trading regulations. This position offers a competitive salary range from $70,000 to $125,000 annually, alongside comprehensive benefits including health insurance and paid time off.

Qualifications

• 4-7 years of experience in Compliance within a broker-dealer or regulatory environment.
• Strong knowledge of US Securities Trading and Markets.
• Proficient with technology and able to learn firm systems.

Responsibilities

• Handle complex regulatory inquiries including analysis of trading data.
• Communicate with regulators and maintain relationships.
• Support ad-hoc requests and projects as needed.

Skills

Compliance experience

Knowledge of SEC and FINRA regulations

Proficiency with MS Office

Understanding of broker/dealer books and records

Ability to analyze trading data

Education

Bachelor's degree

Tools

MS Excel

MS Word

Job description

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.


LCD comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations.

The Legal Department provides guidance, requirements and procedures for understanding and complying with the laws, regulations and Firm policies that apply to our businesses.

The Global Compliance Department identifies applicable Compliance Obligations and maintains a Firmwide Compliance Risk management program, including Compliance Risks that transcend business lines, legal entities and jurisdictions of operation.

Global Financial Crimes is responsible for the development and governance of the Firm's financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti-Money Laundering (AML), Sanctions, Anti-boycott, Anti-Corruption (ACG) and Government and Political Activities Compliance (GPAC) programs.

The Global Regulatory Relations Group (GRRG) is responsible for strategic and centralized management of the supervisory activities of Morgan Stanley's regulators and related developments globally, with a focus on regulatory reviews and examinations and continuous monitoring activities. GRRG serves as the central point of contact for the regulatory staff responsible for supervisory activities at Morgan Stanley entities and for timely reporting to Firm management and other governance or management bodies, as appropriate, on those relationships and supervisory processes, including areas of significant regulatory focus or concern.

The role is in Shared Services Compliance. This team handles regulatory inquiries primarily focused on market regulation.

The Regulatory Inquiries Group Regulatory professional's primary responsibilities include:
> Handle complex regulatory inquiries from an analysis of trading data and complex books and records requests to drafting 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 adhoc 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 Experience

> 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

Knowledge

> 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.

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’ve 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 their 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.

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), and Short/Long Term Disability, in addition to other special perks reserved for our employees. 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.

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