Investment Management Private Side Compliance is a global team with professionals in New York, London, Hong Kong, Mumbai and Tokyo covering IM's Private Side businesses. The U.S. team is responsible for providing regulatory compliance support and oversight of the Investment Management division's SEC Registered Investment Advisers' Private Side alternative investment businesses, including the private credit and equity, infrastructure, and real estate investing businesses. The team provides advice and support to the Private Side businesses on U.S. and global financial industry regulations, develops initiatives to address regulatory changes, drafts and updates firm policies and procedures, and conducts business unit training, among other activities.
We are looking for an experienced and high caliber individual to assist in executing and enhancing the Investment Management Private Side Compliance program focusing on alternative investments and aiding Morgan Stanley Investment Management in complying with applicable laws and regulations.
Advising and supporting the Investment Management Private Side businesses on a wide range of internal and transaction-related compliance matters
Developing training materials and conducting training sessions; communicating compliance/regulatory updates to the business
Perform reviews of surveillance reports to detect possible regulatory, guideline or policy violations
Interpreting U.S. regulations and helping to implement appropriate solutions for the private funds business
Provide real-time advice to front office personnel and support functions in a fast-paced, high-pressure environment
Working with Legal and Compliance colleagues in other jurisdictions when reviewing new business products and initiatives
Periodic analysis and updates of compliance policies and procedures
Compliance risk identification and mitigation
Periodic risk assessments
Developing relationships with other Compliance areas within the Firm to leverage functions such as monitoring and testing teams, global financial crimes, risk, etc.
Preparation of regulatory filings including Form ADV and Form PF
Assisting in identifying and developing modifications to the IM Private Side Compliance program based on new business needs, regulatory developments, and internal assessments
Preparing oversight metrics
Preparation for regulatory inquiries and examinations related to Investment Management Private Side activities
Maintaining a collaborative dialogue with and connectivity to the Investment Management Private side business units
This role requires that all successful applicants be fully vaccinated against COVID-19 as a condition of employment and provide proof of such vaccinations within 3 days of commencement of employment.
3 to 5 years' prior compliance, legal, or other work experience with a financial institution such as a registered investment adviser or investment company or at a law firm and/or regulator
Highly analytical with understanding of financial products, and solid understanding of investment management industry and relevant SEC rules and regulations
Ability to quickly understand, evaluate, articulate, and resolve complex issues
A team player who is willing to share and learn from others
Strong project management skills, and experience in handling significant regulatory change initiatives
Detail oriented, motivated and able to multi-task in a fast paced, high pressure environment
Strong written and verbal communication skills
Organizational skills - to manage control over time sensitive issues and prioritize effectively
The ability to follow instruction and to also show initiative in working towards project goals is essential
Proficient skills using Microsoft Office systems, especially PowerPoint and Excel
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If you are driven to succeed, eager to take on new challenges and open to collaborating with diverse colleagues in pursuit of excellence, you'll discover a wealth of exciting career opportunities at Morgan Stanley. Find your path with us, whether you're a student, a recent graduate or an experienced professional.