Regulatory Inquiries Group - Professional

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Morgan Stanley USA
  • 19 Apr 19

Regulatory Inquiries Group - Professional

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.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Research, analyze and respond to regulatory inquiries from US Regulators and Self-Regulatory Organizations relating to Federal laws and SRO/Exchange rule violations (e.g., Market Abuse/Access Reviews, Trade Reporting, Best Execution, and Order Handling.).

Analyze complex trading data and utilize the information to prepare responses regarding trade executions/order handling/trade reporting.

Interact with Business Unit, Technology, Operations and Legal and Compliance Division personnel, as required, to respond to complex trade inquiries.

Prepare formal responses to regulators and provide advice to Business Unit and Compliance personnel.

Respond to "real time" trading inquiries from SROs and Exchanges related to best execution and trade reporting issues.


Bachelor degree with a minimum 3-5 years experience in either a broker/dealer-FCM conducting regulatory work with an emphasis on trading rules and institutional securities business or a self-regulatory organization such as FINRA, NYSE, SEC, CME, ICE or similar .

Series 7 preferred.

Ability to problem solve with strong analytical skills.

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 with emphasis in using Excel to analyse and review complex trading data.

Strong written and oral communication skills.