Morgan Stanley

Americas Market Conduct Paralegal

Morgan Stanley • $80K — $100K *
Dallas, TX 75217In-Person
Legal & Accounting
Less than 5 years of experience
Today
Be an Early Applicant
Job Overview by Ladders

Qualifications

  • 3-5 years' experience supporting multiple staff members
  • Proficiency with Microsoft Office and collaboration platforms
  • Ability to work in fast-paced environments managing multiple tasks
  • Strong communication and interpersonal skills
  • Demonstrated team collaboration abilities
  • Excellent attention to detail with ownership of deliverables
  • Strong organizational and planning skills

Responsibilities

  • Prepare and review exam materials for regulators
  • Draft response letters
  • Update and maintain exam tracking logs and folders
  • Search tracking logs for historical requests
  • Facilitate sharing of exam documents via Teams and Intralinks
  • Review and redact sensitive information
  • Conduct quality assurance reviews of documents
  • Maintain exam metrics and internal reporting

Benefits

  • Access to Morgan Stanley sponsored benefit programs
  • Participation in incentive compensation and discretionary bonuses
  • Opportunity for long-term incentive packages
  • Potential for commission earnings
  • Supportive team environment with collaboration opportunities
Full Job Description
Background on the 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.

Primary Responsibilities
The AMCRRG team is looking for an experienced program associate / paralegal 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.

Specific duties include:
> 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;
> quality assurance review of documents;
> maintenance of exam metrics and internal reporting;
> meeting notes;
> ad hoc Regulatory Relations projects / initiatives

Qualifications (Required)
> 3-5 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.

Expected base pay rates for the role will be between $80,000 and $100,000 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.

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.

About Morgan Stanley

Morgan Stanley Investment Management are active managers of capital, working to outperform the market and deliver results for their clients. Morgan Stanley Investment Management's long-tenured professionals apply their experience and expertise across public and private markets, in single-sector, multi-asset and custom solutions.

Morgan Stanley Careers

Joining Morgan Stanley today means becoming part of a global team dedicated to strengthening communities, pioneering innovation, and fostering diversity. As a leading global financial services firm, Morgan Stanley offers unparalleled job opportunities, career growth, and a culture of leadership that together create an exceptional employment experience. Work You’ll Do At Morgan Stanley, you will collaborate with knowledgeable professionals to drive innovation and deliver solutions in financial services. Our team is composed of diverse, talented individuals who bring their unique skills and perspectives to work every day, setting the standard for leadership in the global market. Morgan Stanley is not just a company; it's a place where ambitious, creative, and skilled individuals can build a rewarding career. Here, you can experience the benefits of a vibrant culture dedicated to professional growth and diversity training. Internship Programs Kickstart your career with Morgan Stanley’s internship programs. These positions offer invaluable industry insights and professional experience to students and recent graduates. Interns at Morgan Stanley gain hands-on experience, working alongside seasoned experts in a dynamic, supportive environment. Innovation and Professional Growth We believe in the power of innovation to solve complex problems and encourage our team to think differently and act boldly. Morgan Stanley supports your career development through comprehensive training, development programs, and leadership workshops, ensuring that every employee has the tools they need to succeed. Join Our Team Explore the various job opportunities at Morgan Stanley, from entry-level positions to executive roles. We are hiring individuals who are passionate about finance and eager to contribute to a team that values integrity, excellence, and a forward-thinking mindset. Enhance your skills through our networking events, mentorship opportunities, and ongoing professional development. Stay Connected Keep up to date with the latest from Morgan Stanley Careers by subscribing to our job alert emails. Tailor your preferences to receive updates about new postings, career tips, and exclusive insights from our team leaders. Apply Now Ready to take the next step in your career? Search open positions that match your skills and interests on the Morgan Stanley Jobs portal. Prepare your resume, refine your interview techniques, and join a company that values innovation and leadership. At Morgan Stanley, we’re not just building careers—we’re developing leaders. Discover how far your talents can take you by joining our team today.
Learn more about Morgan Stanley
Size
77,000 employees
Market Cap
$144.1 billion
Industry
Finance & Insurance
Net Income
$10.9 billion
Founded
1935
5 Year Trend
+10%
Revenue
$52 billion
NASDAQ
MS
* Ladders Estimates

Similar Jobs

Ad banner background

Get Ready For Your
Next Interview

More Jobs at Morgan Stanley

More Legal & Accounting Jobs

Find similar Americas Market Conduct Paralegal jobs:

NationwideDallas, TX