Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.
Global Investment Management firm seeks a Compliance Professional to join the Investment Management Compliance Department that supports Morgan Stanley Investment Management (MSIM), the Firm’s Investment Management Division. MSIM has more than 715 investment professionals around the world and $ 584 billion in assets under management or supervision as of March 31, 2020.The Compliance Department is seeking an experienced individual to assist in executing and enhancing the investment advisory compliance program with respect to MSIM’s activities, including its mutual funds and retail separately managed accounts businesses. The successful candidate will also aid MSIM in complying with applicable securities laws and regulations and foster adherence to the Firm’s Policies and Procedures.
This position will perform critical functions including providing regulatory advice and guidance to firm management, developing compliance programs for new products, and working with the CCO and other members of IM Compliance in carrying out the compliance program for the Morgan Stanley Fund Family to ensure the requirements of Rule 38a-1 are satisfied. The incumbent will be responsible for:
• Periodic reporting to the Funds’ Boards of Trustees, and senior management, as well as overseeing regular compliance monitoring of activities on behalf of the Funds.
• Serving as a primary compliance subject matter expert with respect to relevant 1940 Act regulations and assist in the maintenance of relevant compliance policies and procedures. • Assisting in identifying, documenting, and monitoring compliance risks and control points. • Providing compliance guidance to business partners designed to expand and enhance the compliance program. • Partnering with applicable business areas and outside service providers to provide timely advice and guidance regarding compliance with federal and state securities laws and regulations and internal policies and procedures. • Reviewing prospectuses, SAI, periodic reporting, advertising, and other disclosures. • Providing ongoing compliance support to the funds and the adviser. • Facilitating regulatory examinations of the firm's Fund and Adviser affiliates. • Monitoring performance of service providers and adherence to regulatory requirements; • Assisting with the onboarding of new vendors and ongoing compliance with the Firm’s vendor policies. • Participating in a wide range of ad-hoc fund related projects.
Ten years of asset management industry experience, with considerable experience providing compliance or legal support to mutual funds. • Mastery of Investment Company Act of 1940 and Investment Advisers Act of 1940 and other relevant securities laws. • Familiarity with bank holding company and other laws and regulations applicable to the financial services industry. • JD, preferred. • Excellent oral and written communication skills, demonstrated leadership ability. • Experience in implementing innovative compliance programs. • Ability to manage and prioritize various projects. • Strong academic background. • Excellent partnering skills. • Ability to take initiative
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