Job Summary

• The Regulatory Inquiries Group Regulatory professional's primary responsibilities include handling complex regulatory inquiries from an analysis of trading data and complex books and records requests to drafting responses to regulators.
• The role requires extracting and analyzing Firm books and records, primarily focusing on trading records and client documentation, and working closely with business, operations, technology and Legal and Compliance Division (LCD) stakeholders.
• Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off, 10 Paid Holidays, 401(k), and Short/Long Term Disability.

Matching Summary

Salary

Base: $70,000 - $125,000 per year; Bonus/Equity: Eligible for annual discretionary incentive compensation award and business unit incentive compensation plan; Benefits: Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off, 10 Paid Holidays, 401(k), Short/Long Term Disability

Skills & Requirements

Key Requirements

• Bachelor's degree with minimum of 4-7 years' experience
• Experience in broker-dealer or regulatory environment
• Experience in trading and markets
• Knowledge of SEC, FINRA, CME, CFTC and/or other SRO rules
• Moderate to strong understanding of US Securities Trading and Markets
• Strong understanding of broker/dealer books and records

Work Rights