Regulatory Relations Professional

Responsibilities

• Directing and coordinate regulatory examinations and risk reviews by the SEC, CFTC, FINRA, NFA, state regulators, and other exchanges;
• Lead the coordination of the Firm's responses to requests for documents and information;
• Preparing for and overseeing interviews and meetings between Firm employees and regulatory examiners;
• municating with regulators regarding document requests, areas of review and potential findings;
• municating with key stakeholders, including senior management in LCD, business, and risk regarding exam status and potential findings; and
• Providing advice and directing the Firm's formal responses to regulatory findings and assisting in the coordination of any remediation.
• This role will require in office attendance 3 days / week. . #LI-JB3

Skills required :

• 2+ years of relevant experience
• Excellentmunication skills, both written and verbal essential
• Experience with regulators-SEC, FINRA, NFA, CFTC, state regulators preferred
• Experience with institutional, investment management and retail business preferred
• Keen attention to detail
• Experience coordinating multiple internal stakeholders from various business areas
• Ability to quickly grasp key concepts and take ownership of deliverables
• Ability to adapt and demonstrate flexibility with multiple priorities
• Experience in the financial services industry preferred
• This is hybrid role with in office flexibility

Expected base pay rates for the role will be between $70, $105, per year at themencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the totalpensation package, which, depending on the position, may also includemission earnings, incentivepensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence.

Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools.

We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership / union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employermitted to diversifying its workforce (M / F / Disability / Vet). . #LI-JB3

Job ID 3254464