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.

Department Profile

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.

Background on the Position

Morgan Stanley Investment Management seeks a compliance professional to join the Investment Management Compliance Department’s public-side advisory coverage.  Together with its investment advisory affiliates, the firm has more than 700 investment professionals around the world and $552 billion in assets under management as of December 31, 2019.  Morgan Stanley Investment Management strives to provide outstanding long-term investment performance, service and a comprehensive suite of investment management solutions to a diverse client base, which includes governments, institutions, corporations and individuals worldwide. The Compliance Department is seeking an experienced compliance professional to administer the compliance component of the New Product Approval process as well as take an active role within the Advisory Compliance function. This role will assist the Department’s broader mission of fostering adherence to applicable rules, regulations, and policies through the development of compliance oversight, controls, and training programs.

Primary Responsibilities

• Primarily responsible for managing the New Product Approval process for the Advisory Compliance function ensuring that applicable regulatory issues are identify and associated risks are mitigated in a timely and efficient manner. 

• Assist the Advisory Compliance team with the development of oversight activities and controls designed to ensure business units adherence applicable rules, regulations, and policies.

• Working with the Head of the Advisory Compliance team to assist in the further development of the market abuse program and the associated shared governance process.

• Work toward further enhancing management information systems and reports designed to keep senior management abreast of key risks and ongoing issues.

• Oversee the compliance program for new business initiatives along with the associated development of monitoring activities and controls that are unique to that business line.

• Work closely with various internal and external parties including IT, Operations, the Legal Department, outside counsel, system vendors, and investment teams.

• To provide support, guidance, and oversight to the Retail Separately Managed Account business and its model delivery program