Morgan Stanley E*TRADE Regulatory Attorney, Vice President at Morgan Stanley

Dallas, Texas, United States -

Full Time

Start Date

Immediate

Expiry Date

07 Apr, 26

Salary

0.0

Posted On

07 Jan, 26

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Legal Support, Regulatory Compliance, Drafting Agreements, Client Relations, Equities Trading, Options Trading, Futures Trading, SEC Regulations, FINRA Rules, CFTC Regulations, NFA Rules, Communication Skills, Negotiation Skills, Organizational Skills, Teamwork, Problem Solving

Industry

Financial Services

Description

Support the business in developing and launching new product offerings, advising on compliance with new and existing industry rules and regulations, responding to regulatory inquiries and client issues, and drafting and amending client-facing agreements, disclosures, and internal governance documentation. Providing legal and regulatory support to business and other partners on a wide range of issues relating to retail equities, options, and futures trading Interpreting and advising on SEC, FINRA, CFTC, NFA, and other applicable laws, rules, and regulations Drafting, reviewing, and revising disclosures, disclaimers, governance documents, marketing, and educational content Advising on development and rollout of new trading products and services Assisting with regulatory inquiries, examinations, and investigations as well as client arbitration and litigation matters Reviewing and updating client agreements, forms, and applications Assessing impact of new and amended industry rules and regulatory developments and contributing to the implementation of and compliance with regulatory changes Responding to client- and platform-related issues Participating in internal working groups and governance forums to provide advice and documentary support The ideal candidate will have 4 or more years at a major law firm, bank, market-maker, proprietary trading firm, state or Federal financial services agency, and/or self-regulatory organization with relevant experience and some subject matter expertise in equities, listed options and/or futures trading, SEC, FINRA, CFTC, and NFA rules. Undergraduate degree from a 4-year institution J.D. from an accredited law school, with superior academic credential Member in good standing of a state bar At least 4 years of legal experience in broker-dealer regulation in the financial services industry, private practice, and/or a relevant regulatory agency or self-regulatory organization. Experience with self-directed online digital retail broker-dealers is a major plus Subject matter knowledge of aspects of the Securities Exchange Act of 1934, the Commodity Exchange Act of 1936, FINRA and NFA rules, and Federal Reserve Board Regulation T Highly developed written and oral communication skills Excellent drafting and negotiation skills, and exceptional attention to detail Proven organizational and time management skills, including the ability to prioritize multiple assignments, work independently to solve problems, and meet deadlines Strong interpersonal skills to foster teamwork, influence decision-making, and maintain effective working relationships with internal colleagues and external clients and regulators Ability to identify issues and assist development of remedial enhancements, including with respect to form agreements, policies, procedures, and control processes Ability to work independently and as part of a team Resourcefulness and personal accountability Comfort working collaboratively including with various internal business, technology, operations, compliance, and risk teams and across departments Comfort working in a large organization both in-person and in virtual settings 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. 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.

Responsibilities

The role involves supporting the business in compliance with industry regulations and drafting client-facing agreements. It also includes providing legal support for new product offerings and responding to regulatory inquiries.