Regulatory Inquiries Group

Posted on Jan 16, 2019 by Morgan Stanley USA

New York, NY 10001
1 Jan 2019
Annual Salary
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 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.
Ability to understand complex trading technologies in order 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.
Regulatory Inquiries Group

Reference: 619600306

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