Morgan Stanley's Investment Management Compliance Department is seeking a senior compliance officer to join the Public Side Advisory Compliance team, which covers Morgan Stanley Investment Management's ('MSIM') business lines that invest in public markets. This role will specifically cover equities and multi-asset investment teams, including portfolio management, trading and research personnel. This seat is in a highly dynamic atmosphere that requires a successful balance of quick and comprehensive advice. Daily tasks will be primarily related compliance and regulatory risks associated with buy side investment activity and will aid in the Firm's compliance with applicable laws, regulations, and relevant policies and procedures. In addition to business stakeholders, this individual may work with colleagues in the Legal and Compliance Division across all lines of business and all regions globally.
Providing advisory compliance coverage to MSIM's equities and multi-asset public investing businesses
Providing advice on fiduciary conflicts of interest with respect to portfolio management, trading and research
Assessing firmwide conflicts that involve MSIM's equities and multi-asset public investing businesses
Assessing relevant regulatory developments, particularly those that pertain to investment teams in respective coverage area
Maintaining a thorough and up-to-date understanding of applicable RIA regulations and rule proposals impacting relevant business activities
Comprehensive understanding of MSIM and Firm policies and procedures; drafting and updating such documents, as required
Preparing and delivering compliance training
Overseeing completion of, and participating in, compliance surveillance and control framework, as required
Providing 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.
Strong academic background
Ability to check and challenge investment personnel unwaveringly
Intellectually curious preferred, not afraid to challenge status quo, suggest new ideas or alternative approaches
At least ten years prior work experience, relevant fields include compliance, legal or other roles with a large financial institution, asset manager, law firm, regulator or management consultancy firm
Excellent knowledge of financial products and services; prior equities experience a major plus
Sound knowledge of securities laws and fiduciary issues
Exceptional analytical and problem-solving skills
Excellent communication skills, both written and verbal
Strong project management skills, with ability to effectively lead project execution and manage to timelines
Demonstrated ability to work effectively and collaboratively 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
Technologically proficient in Windows-based applications (Word, Excel, PowerPoint and Teams), willing and able to learn new technology and leverage for analysis in assessing compliance risks
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