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.
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
- Partner with other members of the team and will be responsible for navigating, advising on, and executing all aspects of regulatory interactions with market conduct regulators and internal stakeholders.
- 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
What you'll bring to the role:
- Bachelor's degree required
- 5+ years' experience supporting regulatory examinations, continuous monitoring, or issue remediation or experience with a regulatory organization such as the SEC, FINRA, CFTC, NFA
- Ability to quickly learn key concepts, remain flexible, and adapt to shifting priorities.
- Ability to work in a fast-paced environment and manage multiple workstreams concurrently.
- Strong written and verbal communication, presentation, and interpersonal skills.
- Demonstrated ability to collaborate in a team environment and work effectively with senior management and cross-functional stakeholders.
- Strong quantitative and qualitative analytical skills, with the ability to synthesize information into clear summaries.
- Excellent attention to detail and end-to-end ownership of deliverables.
- Strong planning and organizational skills; ability to manage timelines, dependencies, and documentation.
- Proficiency with Microsoft Office tools (Word, Excel, PowerPoint, Visio) and collaboration/content platforms (Teams, Zoom, SharePoint).
- Working knowledge of AI tools and an interest in applying automation to improve reporting, documentation, and process execution
- Demonstrated ability to work effectively with regulators
- Strong relationship management skills
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’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.
Texas: 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.
Skills Required
- At least 5 years of experience supporting regulatory examinations, continuous monitoring, or issue remediation, or experience with a regulatory organization such as the SEC, FINRA, CFTC, or NFA.
- Ability to quickly learn key concepts, remain flexible, and adapt to shifting priorities.
- Ability to work in a fast-paced environment and manage multiple concurrent workstreams.
- Strong written and verbal communication, presentation, and interpersonal skills.
- Demonstrated ability to collaborate in a team environment and work effectively with senior management and cross-functional stakeholders.
- Strong quantitative and qualitative analytical skills, including the ability to synthesize information into clear summaries.
- Excellent attention to detail and end-to-end ownership of deliverables.
- Strong planning and organizational skills, including managing timelines, dependencies, and documentation.
- Proficiency with Microsoft Office tools, including Word, Excel, PowerPoint, and Visio.
- Proficiency with collaboration and content platforms, including Teams, Zoom, and SharePoint.
- Working knowledge of AI tools and interest in applying automation to reporting, documentation, and process execution.
- Demonstrated ability to work effectively with regulators.
- Strong relationship management skills.
Morgan Stanley Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Morgan Stanley and has not been reviewed or approved by Morgan Stanley.
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Healthcare Strength — Health coverage is characterized as comprehensive, with medical, dental, vision, and added supports like One Medical and mental-health sessions. Feedback suggests the overall package is strong to excellent for a large financial-services employer.
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Retirement Support — Retirement programs include a 401(k) with company matching and related financial benefits. These features are frequently highlighted as part of a broad, competitive package.
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Parental & Family Support — Family benefits are noted for generous paid parental leave, fertility support, and caregiver leave. Feedback suggests these offerings stand out as a strength within the package.
Morgan Stanley Insights
What We Do
Morgan Stanley mobilizes capital to help governments, corporations, institutions and individuals around the world achieve their financial goals. For over 85 years, the firm’s reputation for using innovative thinking to solve complex problems has been well earned and rarely matched. A consistent industry leader throughout decades of dramatic change in modern finance, Morgan Stanley will continue to break new ground in advising, serving and providing new opportunities for its clients. Morgan Stanley is committed to maintaining the first-class service and high standard of excellence that have always defined the firm. At its foundation are five core values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — that guide its more than 60,000 employees in 1,200 offices across 41 countries.
