Regulatory Inquiries Professional, Director

Morgan Stanley

Base: $70,000 - $125,000 py; bonus: eligible for a...
4-7 years compliance experience
Broker-dealer or regulatory environment
Trading and markets knowledge
The role involves handling complex regulatory inquiries by analyzing trading data and drafting responses to regulators

Job Summary

  • The role involves handling complex regulatory inquiries by analyzing trading data and drafting responses to regulators.
  • Morgan Stanley offers a comprehensive benefits package including medical, dental, vision, 401(k), and up to 20 vacation days annually.
  • This position requires close collaboration with business, operations, technology, and Legal stakeholders to manage supervisory activities.

Matching Summary

The role involves handling complex regulatory inquiries by analyzing trading data and drafting responses to regulators.

Salary

Base: $70,000 - $125,000 per year; Bonus: Eligible for annual discretionary incentive compensation award; Benefits: Full spectrum including Medical, Dental, Vision, 401(k), Paid Time Off

Skills & Requirements

Must-have

  • 4-7 years Compliance experience
  • Broker-dealer or regulatory environment
  • Trading and markets knowledge
  • Firm books and records expertise
  • SEC FINRA CME CFTC rules knowledge

Nice-to-have

  • Generative AI proficiency with Copilot
  • Strong team ethic and collaboration
  • Comfort working with technology systems
  • Experience with electronic blue sheet reporting

Key Requirements

  • Bachelor's degree required
  • Minimum 4-7 years in Compliance
  • Knowledge of US Securities Trading
  • Proficiency in MS Office Excel and Word

Work Rights

Not specified

Tailored Resume

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