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The Global Regulatory Relations Group (Regulatory Relations) provides strategic and centralized management of the supervisory activities of the Firm's regulators and related developments globally, focusing on regulatory reviews and examinations and continuous monitoring activities.

Regulatory Relations serves as the central point of contact with key supervisory regulators globally to facilitate open, cooperative and constructive relationships; provides advice and guidance on regulatory interactions and engagement; oversees responses to and commitments made to regulators; and apprises the Board, Senior Management, and relevant governance bodies and stakeholders of these matters and related significant regulatory developments.

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
• Organizing 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.

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

Expected base pay rates for the role will be between 110000 and 190000  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.

About Morgan Stanley

We believe capital can work to benefit all of society We make this belief a reality by putting clients first, leading with exceptional ideas, doing the right thing, and giving back. If you are driven to succeed, eager to take on new challenges and open to collaborating with diverse colleagues in pursuit of excellence, you'll discover a wealth of exciting career opportunities at Morgan Stanley. Find your path with us, whether you're a student, a recent graduate or an experienced professional.

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