Company Profile
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 ethics. 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.
Group Overview
The Global Regulatory Relations Group ('Reg Relations') is responsible for the management of the supervisory activities of the Firm's regulators. The Americas Market/Conduct Regulatory Relations Group is responsible for cycle, for cause and sweep examinations of Morgan Stanley's North American legal entities conducted by the Firm's securities, commodities, and swap dealer government regulators, their Self Regulatory Organizations (SROs), the exchanges and the states.
Primary Responsibilities
- Managing and coordinating all aspects of regulatory examinations by the SEC, CFTC, FINRA, NFA, state regulators, and other exchanges;
- Responding to requests for documents and information;
- Conducting analyses of relevant regulations and providing advice to internal stakeholders regarding potential regulatory risk;
- Preparing for and overseeing interviews and meetings between Firm employees and regulatory examiners;
- Communicating with regulators regarding document requests, areas of review and potential findings;
- Communicating with key stakeholders, including senior management in LCD, business, and risk regarding exam status and potential findings; and
- Organizing the Firm's formal responses to regulatory findings and assisting in the coordination of any remediation.
Skills required
- 5 - 10 years of relevant experience
- Experience dealing with external regulators and responding to regulatory requests
- Excellent communication skills, both written and verbal essential
- Experience in the financial industry, and/or a management consulting firm, with compliance, regulatory or audit experience preferred
- Experience with both institutional, investment management and retail business preferred
- Keen attention to detail and desire to take final ownership of content in deliverables
- Ability to quickly grasp key concepts, be flexible and quickly manage change in priorities
- Experience with both institutional, investment management and retail business preferred
