Director-Advisory Compliance

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Morgan Stanley USA
  • 19 Oct 18

Director-Advisory Compliance

Company Profile
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.

Morgan Stanley Wealth Management is one of the largest retail broker-dealers and serves the needs of individuals and small and mid-sized institutional clients through a network of approximately 16,000 financial advisors located throughout the U.S.

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, achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture

Job Responsibilities :
Provide compliance guidance to Investment professionals and traders with respect to regulatory requirements imposed by US and foreign financial authorities
• Review IMAs for new asset management clients ensuring that all regulatory representations have been included
• Providing Compliance representation in the client take-on process for new segregated accounts and funds, including liaising with internal stakeholders (portfolio managers, traders, legal and operations) regarding suitability
• Prepare responses to monthly and quarterly client questionnaires addressing any regulatory requirements
• Overseeing market abuse compliance

Qualifications:

Qualifications:

• 5+ years of asset management industry experience, with considerable experience providing compliance advisory support to Investment Management investment teams
• Extensive knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, other securities laws and applicable regulations
• Working knowledge of relevant ERISA and UCITS regulation
• Excellent oral and written communication skills, demonstrated leadership ability Ability to handle highly confidential and sensitive information
• Identify and remediate conflicts of interest
• BA/BS required