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HYBRID- Regulatory Inquiries Professional- Shared Services Compliance

Morgan Stanley
New York, USA
$110k - $190k
Closing date
Dec 15, 2022

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries.
The talent and passion of our people is critical to our continued success as a firm. Together, we share core values rooted in integrity, excellence, and strong team ethic. Morgan Stanley is committed to helping its employees build meaningful careers and we strive to be a place for people to learn, achieve and grow.

Legal and Compliance
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the Firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm's businesses.
The Regulatory Inquires team is part of Shared Services Compliance and are responsible for responding to regulatory inquiries.

  • Research, analyze and respond to regulatory inquiries from the US Securities and Exchange Commission (SEC), US Commodities and Futures Trading Commission (CFTC) and Self-Regulatory Organizations (SRO) relating to Federal laws and SRO/Exchange rule violations (e.g., ISE & CBOE option trading/reporting rules, Regulation M, front-running/anticipatory hedging, information barriers, etc.).
  • Analyze complex trading data to distill the information into responses regarding trade executions/order handling/trade reporting.
  • Interact directly with Business Unit personnel, sales traders/traders, technology personnel, external and internal counsel, Operations personnel, Compliance coverage, etc. as required, to investigate, gather Firm documents, analyze, and respond to complex trade inquiries.
  • Prepare formal responses to regulators and provide advice to business and compliance personnel.
  • Respond to real time trading situations presented by Regulators relating to best execution and trade reporting issues.


  • Bachelor's degree with a minimum 4-7 years' experience in either a self-regulatory organization such as the NYSE, FINRA, AMEX, SEC, CME, ICE or similar broker/dealer-FCM regulatory work with an emphasis on trading rules and institutional securities business.
  • Series 7 preferred.
  • Role allows option of working in office and from home on a set schedule (amount of flexibility to be defined by hiring manager and business unit). In line with Company expectations, minimum in office requirement is 3 days.
  • Ability to understand complex trading technologies to analyze and extract trading data to respond to regulatory inquiries implicating SEC and SRO rules and regulations.
  • Excellent interpersonal skills, with the confidence, credibility, and ability to work effectively within the organization, and communicate and interact with both junior and senior business personnel.
  • Ability to work independently in responding to complex regulatory inquiries.
  • Must possess strong computer skills.

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.

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