Assist with responding to regulatory exams, inquiries, internal audits and targeted assessments. Assist business partners with audits, targeted assessments and regulatory exams. Strong working knowledge of SEC, FINRA and other SRO rules concerning communications with the public. Prior experience concerning the review of communications for complex products and services with an emphasis on self-directed trading. Experience with E*TRADE is a plus. Product knowledge including, but not limited to, mutual funds, exchange traded funds, stocks, bonds, options, futures and SMAs. Prior Risk, Compliance or Regulatory experience for a minimum of 2 years combined focusing specifically on communications with the public. Proficient understanding of areas of industry and regulatory focus, e.g., ESG and cryptocurrencies. Excellent analytical ability while consistently demonstrating strong attention to detail Excellent listening, interpersonal, communicative and persuasion skills. Strong organizational, planning and time management skills to multitask competing priorities in a fast paced and dynamic environment. Ability to follow specific directions and function independently or part of a team with minimal oversight. Ability to exercise prudent judgment as it applies to resolving complex issues. Ability to work collaboratively with senior levels of management within the business, Legal, Risk, and Compliance teams. Active FINRA Licenses: Series 7 and Series 24. Willingness to obtain Series 4. Undergraduate degree or equivalent professional experience Microsoft and Adobe Suite We do it in a way that's differentiated - and we've done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser. Expected base pay rates for the role will be between $85,000 and $140,000 per year at the commencement of employment. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.
