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., Insider trading, Market Manipulation, Reg M). Primary responsibilities include handling of the Firm's bluesheet submissions, production of published research materials, reviewing client trading activity to determine what accounts and activity are responsive to regulatory requests, and producing account documentation/information to the Firm's various regulators. Includes data entry into bluesheet systems, tracking regulatory requests, querying internal systems to find responsive documentation/information, detailed trade analysis, and understanding client accounts/relationships. Prepare formal responses to regulators and provide advice to business and compliance personnel. Work with Legal and Compliance colleagues to review regulatory requests and responses, work with front-office personnel (including Financial Advisors, Branch Manager and Risk Officers) to gather responsive information, and negotiate terms and scope of requests with the various regulators.
Bachelor degree with a minimum 1-3 years experience in the industry (preferably with a self-regulatory organization such as the FINRA, SEC, or an Exchange or similar broker/dealer regulatory work). Series 7 preferred. Ability to multitask and analyze 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.
Internal Number: 5096684
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