Registration Specialist recruitment

Position Category: Legal/Compliance

Position Title: Registration Specialist

Job Level: Vice President

Location: USA - NY - New York

Education Required: Refer to Position Description

Position Description:
The Registration Department performs all registration-related activities on behalf of Morgan Stanley Smith Barney, Morgan Stanley Co. LLC and its affiliates ("institutional securities group or ISG"), Morgan Stanley Investment Management, and their securities professionals. The Position will be responsible for the following activities:

Advisory Support:
-Review and interpret regulatory notices for all businesses
-Provide advice on application of existing and new licenses for ISG and the MSSB Registration Department
-Develop framework for ongoing application of institutional licenses (e.g., series 79, 52, 56, 4, Ops plus senior management), including standard interpretive materials and processes
-Participate in SIFMA working group and related industry initiatives
-Review and recommend enhancements to Department policies and procedures (including interactions with HR Strategic Planning and Project Management)
-For ISG, review (and escalate as appropriate):
-pre-hires with disclosures
-statutory disqualifications and related disclosures
-non-voluntary terminations
-Foreign license holder issues
-Coordinate Department metrics and updates to the institutional Compliance manual
-Coordinate responses to ISG/MSSB regulatory inquiries and exams and Internal Audit reviews

-Supervise Corporate Filings and Foreign License Processes

-Oversee current ISG and MSSB filings and multiple new Dodd-Frank filings

-Oversee Canadian license process

-Coordinate foreign license and 15a-6 certification processes

-Coordinate with global Registration Departments on behalf of Americas ISG Compliance

Skills Required:
Individuals applying for this role must possess:
• Strong analytical and problem solving skills
• Strong interpersonal skills
• Excellent oral and written communication skills
• Teamwork skills
• Organizational skills
• Computer literacy
• Planning skills

Skills Desired:
In addition, candidates should be detail oriented, reliable and adapt quickly to change. Supervisory experience and experience managing large projects preferred.