- Monitoring, tracking, and documenting regulatory changes according to the Firm's Enterprise Minimum Standard Procedure (ERMF) across all regulations covered by the team. - Conducting annual reviews of updates to the aosphere Shareholding Disclosure (DOI) memoranda, jurisdiction reviews, and providing updates to Operations' rule traceability matrix. - Partnering with DOI Ops to focus on large position concentrations, trade pre-clearance and monitoring, large position reporting obligations under Sections 13 and 16 of the Exchange Act, various US state and sensitive industry regulations, and issuer-specific limits, as well as other Americas jurisdictions, including Brazil, Canada, Mexico, and Argentina. - Providing oversight of DOI Ops programs to ensure satisfactory regulatory compliance across all in-scope entities, asset classes, products, and related processes, such as booking models and management agreements in relation to the wide range of relevant securities, industry and corporate issuer regulations. - Periodically reviewing Operations policies and procedures to ensure they meet regulatory obligations and overseeing necessary changes. - Developing expertise to provide real-time advice across all primary and secondary coverage areas, supporting the team leads and becoming a substantive SME. - Serving as an escalation point for incidents impacting the Firm's regulatory obligations. - Advising Technology and Data to enhance relevant Firm systems for regulatory requirements. - Conducting testing and monitoring, leveraging the Compliance Testing Team for comprehensive initiatives. - Reviewing Internal Audit and Compliance Testing findings, developing remediation plans, and monitoring execution. - Providing training for new and existing rules and processes. - Participating in Industry working groups. > Understanding of relevant regulatory approach in USA and the Americas (with particular reference to SEC, FINRA and Fed), with broad understanding of the global regulatory approach > Understanding of the business model and operational setup of a global financial institution, including regulatory structure, business mix, investment structures and booking models and equity-related products > Experience in identifying and interpreting changes to relevant laws or regulatory guidance, analyzing and communicating impact to stakeholders > Ability to review and challenge proposals to ensure that there has been adequate consideration of regulatory requirements > Ability to track and interpret industry trends > Ability to work with global colleagues to develop and implement global standards and frameworks for governance and management of regulatory obligations > Ability to build relationships of trust with members of the Legal and Compliance Division and stakeholders from business units and support and control functions > Excellent analytical, program management numerical and data skills > Excellent communication skills, both oral and written > Ability to work independently and drive projects and initiatives > Ability to remain focused under pressure > Ability to perform multiple tasks simultaneously > Confidence to use own initiative and apply judgment > Strong desire to learn new subject matter > The ability to work very effectively within an organization and communicate with senior and junior business and control function personnel 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. Salary range for the position: $80,000.00 - $135,000.00/Yr. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which also may include a discretionary bonus component. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings. 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.
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