Regulatory Specialist, Client Onboarding AVP

$100,000 - $135,000/Yr

Morgan Stanley - New York, NY

Full-time - Mid Level

New York, NY

1,001-5,000 employees

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

The Regulatory Specialist, Client Onboarding AVP role at Morgan Stanley involves supporting Financial Advisors and Operations teams in the Wealth Management Platforms organization. The position focuses on managing digital solutions and ensuring compliance with regulations while enhancing client onboarding processes. The successful candidate will play a key role in translating business strategies into technical requirements and collaborating with various stakeholders to deliver successful digital products.

Responsibilities

• Provide daily support to Financial Advisors, Support Professionals, and Operations teams.
• Respond to inquiries via phone, email, and internal systems.
• Analyze Field inquiries and determine training and education solutions.
• Document and analyze system issues; develop and write requirements (JIRA).
• Support multiple products and workstreams including SEC Regulation Best Interest (Reg BI), Client Onboarding, New Accounts, Know Your Client (KYC), Enhanced Due Diligence (EDD).
• Translate overall business strategy into technical requirements to be developed.
• Collaborate with Business, Operations, and Technology to ensure understanding of product strategy, roadmap, and work to be done.
• Prioritize work based on needs and constraints in an agile software development environment.
• Partner with program management to align status and milestones.
• Assist with audits and Risk and Control Self Assessments (RCSA).
• Present planned work to key stakeholders to obtain approvals.
• Gather internal and external feedback for insights.
• Facilitate workshops and meetings.

Requirements

• Bachelor's degree required; Master's degree is a plus.
• A minimum of 5 years of experience in Product Management and Client Service, preferably in the financial services industry.
• Team lead experience is required.
• Series 7 certification is a plus.

Nice-to-haves

• Experience working in an Agile development environment.
• Strong customer service skills and ability to communicate professionally with Financial Advisors.
• Proven track record of delivering successful digital products on time and within scope.
• Excellent communication skills, including the ability to present complex information clearly.
• Ability to collaborate effectively with cross-functional teams and stakeholders at all levels.

Benefits

• Commission earnings
• Incentive compensation
• Discretionary bonuses
• Short and long-term incentive packages
• Morgan Stanley sponsored benefit programs