Investment Management Private Side Compliance, Executive Director

 •  Morgan Stanley New York, NY

11 - 15 years experience  •  Financial Services

Salary depends on experience
Posted on 11/22/17
New York, NY
11 - 15 years experience
Financial Services
Salary depends on experience
Posted on 11/22/17

Primary Responsibilities We are looking for an experienced and high caliber individual to act as Chief Compliance Officer of the SEC registered Investment Advisers for the Morgan Stanley Investment Management Private Side businesses (private equity, infrastructure and real estate investing), to lead the US Private Side Compliance team and to facilitate the Private Side Compliance program globally. The role will be based in New York and report to the Head of Investment Management Alternatives Compliance. Duties include:
- Advising and supporting  theInvestment Management Private Side businesses on a wide range ofinternal and transaction-related compliance matters  - Developing training materials and conducting training sessions; communicating compliance/regulatory updates to the business- Excellent knowledge of theInvestment Advisers Act of 1940 and theInvestment Company Act of 1940; working knowledge ofother applicablelaws and regulations both in the US and overseas, includingother securitieslaws andFINRA regulation- Interpreting US regulations and helping in implementing appropriate solutions with the business- Drafting policies and procedures, including written supervisory procedures- Developing a relationship with all the Central Compliance functions to streamline and leverage functions like monitoring and testing teams- Assisting in identifying and developing modifications on the compliance program based on new business needs- Preparing supervisory metrics- Handling, orotherwise providing guidance and assistance tointernal regulatory relations teams in connection with, the preparation of responses to regulatory inquiries and examinations related toInvestment Management Private Side activities- Participating in various projects, such as new product initiatives, global initiatives etc.- Liaising and forming a good working relationship with colleagues within Legal and Compliance on matters pertaining toInvestment Management Private Side business   


Skills Required - A Juris Doctor degree or a Bachelor’s degree in Accounting, Business or Economics a distinct advantage - Minimum 10 years’ compliance-related experience gained at a top tier financial institution, law firm and/or regulator, including a minimum of 5 years’ experience in the investment management field - Highly analytical with strong knowledge of financial products, and solid understanding of investment management industry and relevant US regional regulations and rules - A team player who is willing to share and learn from others - Self-starter who is able to manage effectively senior professionals in the business - Demonstrated leadership ability, ideally with prior management experience - 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 - Exceptional written and oral communication skills - Proficient skills using Microsoft Office systems, especially PowerPoint and Excel


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