Morgan Stanley
Regulatory Inquiries Professional, Director
$70K–$125K
Baltimore, Maryland +1 · On-site · Director · Full-time · Posted Aug 14, 2026
- Location
- Baltimore, Maryland
Dallas, Texas - Experience
- Minimum 4–7 years' experience in Compliance, in a broker-dealer or regulatory environment, with experience in trading and markets and firm books and records.
- Education
- At least a Bachelor's degree
About the job
Handles complex market-regulation inquiries by analyzing trading data and firm records, preparing responses to regulators, and coordinating with internal stakeholders.
What you'll do
- Analyze trading data and extract firm books and records to respond to regulatory inquiries, including drafting regulator responses.
- Communicate with regulators and maintain relationships with them.
- Coordinate with business, operations, technology, Legal and Compliance stakeholders; support projects and electronic blue sheet reporting.
What they ask for
- At least a bachelor's degree.
- Knowledge of SEC, FINRA, CME, CFTC and/or other SRO rules and regulations.
- Understanding of US securities trading and markets, financial securities products, and broker/dealer books and records.
- Strong proficiency with MS Office, especially Excel and Word.
Nice to have
- Practical use of Copilot or similar Generative AI.
Pay
$70,000 and $125,000 per year (base salary)
Tools
MS Office, Excel, Word, Copilot
AI focus
Practical use of Copilot or similar Generative AI.
Model-written summary · the original posting is authoritative