Americas Market Conduct Paralegal

We’re seeking someone to join our team as a Regulatory Relations Paralegal in Legal and Compliance to assist regulatory exam managers with their regulatory exams and continuous monitoring requests, as well other ad hoc projects, including across all Regulatory Relations regions / functions.

In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm’s management of legal, regulatory and franchise risk. This is an analyst/associate level position within the Regulatory Relations team.

The Americas Market Conduct Regulatory Relations Group (AMCRRG) provides strategic advice on supervisory matters and centralized management of the activities of the Firm's market conduct regulators and related developments, focusing on regulatory examinations and continuous monitoring activities. AMCRRG serves as the central point of contact with the supervisory market conduct regulators in the US including the SEC, CFTC, FINRA, NFA and state securities regulator to facilitate open, productive and proactive relationships.



 

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

What you'll do in the role:

• Prepare and review exam materials for production to regulators including but not limited to reformatting documents
• Drafting response letters
• Update and maintain exam tracking logs and exam folders
• Search tracking logs for similar historic requests and findings
• Bates stamping
• Facilitate sharing of exam-related documents via Teams and Intralinks
• Review and redaction of sensitive info
• Qquality assurance review of documents
• Maintenance of exam metrics and internal reporting
• Ad hoc Regulatory Relations projects / initiatives

What you'll bring to the role:

• 3 years' experience supporting multiple staff members
• Proficiency with Microsoft Office tools (Word, Excel, PowerPoint, Visio) and collaboration/content platforms (Teams, Zoom, SharePoint).
• Ability to work in a fast-paced environment and manage multiple workstreams concurrently.
• Strong communication and interpersonal skills.
• Demonstrated ability to collaborate in a team environment
• Excellent attention to detail and end-to-end ownership of deliverables.
• Strong planning and organizational skills; ability to manage timelines, dependencies, and documentation.

Please note that the location listed for this role is temporary. The position’s work location will transition to 1445 Ross Ave, Dallas, TX 75202 at a future date . In-Person interviews will be required for the role. 

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. 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. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. 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.

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TX: Expected base pay rates for the role will be between $68,000 and $95,750 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

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