VP, Regulatory Relations

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.

The AMCRRG team is looking for an experienced Vice President level professional to join our team in New York. This individual will work closely with the members of the team and will be responsible for navigating, advising on, and executing all aspects of regulatory interactions with market / conduct regulators and key internal stakeholders, including :

• 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 :