Core Compliance Policies and Procedures – Director/Associate

Dublin

JR026903

About Morgan Stanley

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.

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. We can provide a superior foundation for building a professional career – a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Morgan Stanley Investment Management (“MSIM”) is a leading worldwide asset management business, offering investment management services to global investors in equity, fixed-income, asset allocation and alternative investment products including private equity, venture capital and real estate opportunities on a worldwide basis. MSIM offers its products through fund vehicles (such as UK OEICs, Luxembourg SICAVs and US Mutual Funds, ETFs and Business Development Companies) and as separately managed institutional accounts.

The Legal and Compliance Division is responsible for providing legal and regulatory support for all aspects of the global Investment Management business. We are looking to appoint a permanent team member within the Compliance Program Oversight coverage group’s Core Compliance/Code of Ethics team in Dublin.

Dublin is MSIM's location of our EU UCITS management company and alternative investment fund manager and also supports the effective implementation of the Global Compliance Program, which includes SEC registered investment advisors, co-mingled investment vehicles, such as open and closed-end funds and business development companies registered under the Investment Company Act of 1940, and core compliance activities, such as code of ethics supervision, training, testing and policies and procedures.

As part of the Global Compliance team, you will work closely with team members based in London, Paris, Milan, Boston, New York, Washington DC, Atlanta, Minneapolis, Seattle, Mumbai, Tokyo, Singapore, Australia, Korea and Hong Kong.

What will you be doing?

This role is in the Global Compliance Program Oversight coverage team’s Core Compliance function, co-reporting to a manager in  Dublin and in New York. You will participate fully in delivering the Compliance program within the MSIM business, with a focus on the management, tracking and communication of IM Compliance training, coordination of the team’s responses to Client Due Diligence Questionnaires (“DDQs”), support global rules management framework and update process and contribute on special projects. Candidate will also be responsible to:

• Assist with the coordination, management, implementation and tracking of the MSIM Compliance training plan, including assisting to represent IM in the firmwide training efforts, providing reporting to senior management and hosting regular global meetings with relevant shareholders and SMEs.
• Assist in the maintenance of a technology-based regulatory tracker that serves as a point of reference for the Investment Management Legal & Compliance Division to document and track implementation of new regulatory initiatives.
• Assist and coordinate responses to DDQs and RFPs that are directed to the team, according with SMEs and stakeholders as appropriate.
• Assist and support with the management of the Compliance Program Reviews (quarterly and annually) as required pursuant to Rule 38a-1 and Rule 206(4)-7.
• Assist to support partnership with business units and work closely with Legal and Compliance colleagues to track new products, strategies, and entities as appropriate to ensure appropriate disclosure and identify policy enhancements or updates.
• Support special projects, including product development, launch of new funds and investment products, and other investment management-related matters.

What we’re looking for:

We are looking for a compliance professional at a Director level with asset management experience.

The ideal candidate:

• 4 years+ applicable experience
• Excellent communication skills, both written and verbal
• Innovative, inquisitive and interested in identifying and implementing new technology/tools to help enhance program requirements.
• Practical experience of working in a cross-regional context
• Detail oriented with ability to multi-task, effectively prioritize responsibilities and produce results
• Strong analytical and creative problem-solving skills; ability to generate creative alternatives to identified issues
• Strong relationship building skills; ability to develop and foster trust-based relationships with the various
• Understanding of the investment operations process and knowledge of investments
• Strong Excel skills
• Attention to detail

Skills that will help you in the role:

• You are driven, a good team player and your analytical & communication skills are first rate.
• You remain composed under pressure, are able to effectively manage and prioritize competing priorities and work to tight deadlines while managing expectations.
• You are comfortable operating in a dynamic environment involving liaison with MSIM colleagues globally and within Morgan Stanley's Compliance division more broadly.
• Familiarity with the complexities of operating within a global business model would be an advantage.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years.  Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser.

Certified Persons Regulatory Requirements:
If this role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.

Flexible work statement
Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.