VP, P5, Regulatory Relations : Job Level - Vice President

Vice President, Regulatory Relations

The Americas Market / Conduct Regulatory Relations Group (AMCRRG) serves as the central point of contact with market / conduct regulators in the Americas to facilitate open, productive and proactive relationships. AMCRRG provides advice and guidance on regulatory interactions and engagement; oversees responses to and commitments made to regulators; and apprises management of the Firm's market / conduct regulatory relationships, including providing thought leadership. AMCRRG is responsible for cycle, for cause and sweep examinations of Morgan Stanley's North American legal entities conducted by the Firm's securities, commodities, security-based swap dealers and swap dealer government regulators, their Self Regulatory Organizations (SROs) and the exchanges.

Primary Responsibilities :

• Front-to-back strategic management of concurrent complex regulatory examinations, as well as the coordination of other requests made by the SEC, CFTC, FINRA, NFA, state regulators and exchanges
• Evaluating regulatory risks arising from interactions and advising management on the appropriate plan of action
• Conducting analyses of relevant regulations and providing advice to internal stakeholders regarding potential regulatory risk
• Ensuring management is apprised of key regulatory requests, meetings and areas of focus, including both the status and resolution
• Maintaining a detailed understanding of the status of open examination issues and providing advice and challenge to internal stakeholders on resolution
• Advising on the appropriateness of regulatory responses and remediation plans
• Leading regulatory meetings, including working on the agendas, preparation of internal stakeholders and materials, and the tracking and coordination of responses to follow-up requests
• Preparing management and other internal stakeholders for regulatory exam, continuous monitoring 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 development

This role provides an excellent opportunity for an individual looking to expand their Financial Services knowledge, learn more about the Regulatory environment and develop a good understanding of key Firm processes and functions.

Skills required :

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 employer committed to diversifying its workforce (M / F / Disability / Vet).