Calvert Research and Management Advisory Compliance, Vice President
Location: Columbia, Washington
Type: Full Time
Internal Number: 3225689
Morgan Stanley Investment Management (MSIM) is a leading asset manager across public and private markets, focused on high conviction active management. MSIM, together with its investment advisory affiliates, has more than 1,248 investment professionals around the world and $1.4 trillion in assets under management or supervision as of June 30, 2022.
Calvert Research and Management, part of MSIM, is a leader in responsible investing and offers a full range of responsible investing solutions for individuals, advisors and institutions seeking competitive returns and positive impact. The Calvert Compliance team supports all aspects of the investment management business, including providing advisory support to portfolio and index construction managers, traders, and research and engagement analysts with respect to adherence with client, internal and regulatory guidelines and restrictions. We are now seeking an experienced senior compliance officer who will work closely with the CCO and other senior compliance professionals to execute and enhance the compliance program, and aid the business to comply with applicable guidance, laws, regulations, and Firm policies and procedures. Among other internal stakeholders, this individual will work closely with portfolio and index construction managers, traders, operations teams, analysts and colleagues in the Legal and Compliance Division across all lines of business and regions globally.
The role will be based in Washington, DC and report to the Calvert Chief Compliance Officer.
-Assist the CCO in maintaining a 206(4)-7 compliance program appropriate to Calvert and reflective of industry best practices and regulatory requirements/expectations -Provide compliance advisory coverage to business personnel and support functions in a fast-paced and dynamic environment -Support the CCO by leading major projects and drive enhancements for the compliance group -Assess the impact of regulatory developments, support regulatory change management efforts, and providing regulatory updates to the business -Maintain a thorough and up-to-date understanding of applicable adviser regulations and rule proposals impacting relevant business activities -Draft and update policies and procedures -Draft/ review regulatory filings, including Form ADV -Prepare and deliver compliance training -Conduct monitoring activities as part of second line oversight of the business' compliance with guidance, regulation, policies and procedures, and investment guidelines -Review and evaluate new product proposals -Complete client requests, i.e., certification, questionnaires and other information requests -Present in due diligence meetings with clients and/or prospective clients -Review investment management agreements to identify and interpret investment guidelines -Perform advisory support in connection with compliance monitoring and testing activities as part of second line oversight of the Firm's compliance with applicable regulation, and policies and procedures. -Supporting compliance program matters and projects -Strong academic background (J.D. degree, MBA, or other advanced degree strongly preferred) -At least 10 years' prior compliance, legal or other work experience with a financial institution, such as a registered investment adviser or investment company and/or at a law firm or regulator
Excellent knowledge of financial products and services; prior ESG/sustainability experience a major plus. -Sound knowledge of applicable securities laws, including Investment Advisers Act and Investment Company Act -Good business judgment -Intellectually curious, not afraid to challenge status quo, suggest and execute new ideas or alternative approaches -Exceptional analytical and problem-solving skills -Strong communication skills, both written and verbal -Demonstrated leadership skills; ability to work effectively in a team-oriented environment, as well as independently; strong relationship building skills -Well-developed organizational skills to manage time sensitive issues, prioritize effectively, and deliver results -Detail and execution oriented, with ability to maintain a high standard of accuracy while managing various tasks simultaneously -Self-starter with ability to work well independently and in a team environment, work well under pressure and deadlines, while managing multiple projects -Strong service orientation and ability to communicate with and establish and maintain effective working relationships with peers, senior management, a wide array of associates, clients, Board members, external legal counsel, and other service providers -Computer literacy - working knowledge of Windows-based applications such as Word, Excel and PowerPoint -Occasional travel to affiliate offices
We believe capital can work to benefit all of society We make this belief a reality by putting clients first, leading with exceptional ideas, doing the right thing, and giving back.
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.