The job below is no longer available.
You might also like
in New York, NY
$200000 - $280000Verified per year NTT DATA • 6h agoUrgently hiring 3.2 mi Use left and right arrow keys to navigate- $20.50
Verified per hour DISH • 6h agoJust posted Urgently hiring 7 mi Use left and right arrow keys to navigate - $37
est. per hour Capital One • 6h agoJust posted Urgently hiring 1 mi Use left and right arrow keys to navigate - $66
est. per hour Guidehouse • 6h agoJust posted Urgently hiring 1 mi Use left and right arrow keys to navigate - $525
Verified per week Year Up • 1h agoUrgently hiring 3.2 mi Use left and right arrow keys to navigate
Associate: Compliance, Regulatory Developments/Policies and Procedures
•30 days ago
| Hours | Full-time, Part-time |
|---|---|
| Location | New York, NY New York, New York |
About this job
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.
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, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Department Profile
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.
Background on the Position
Global investment management firm seeks a Compliance Professional to join the Investment Management Compliance Department supporting the asset management businesses under Morgan Stanley Investment Management. Morgan Stanley Investment Management, together with its investment advisory affiliates, has more than 580 investment professionals around the world and $403 billion in assets under management or supervision as of December 31, 2014. The Compliance Department is seeking an experienced individual to assist in enhancing an appropriate compliance program for the investment management businesses, to support the businesses in complying with applicable securities laws and regulations, and to assist the broader mission of the Department to foster adherence to the Firm's Policies and Procedures.
Primary Responsibilities
* Be an integral part of the compliance unit responsible for the maintenance of policies and procedures applicable to the firm's SEC-registered investment advisers and the products they advise and sponsor, global Compliance training and the management of regulatory developments.
* Assist in the development and implement policies and procedures in response to new regulatory initiatives (i.e., Dodd-Frank; CFTC) and business changes.
* Assist in the Investment Management Annual Compliance Plan with respect to policy creation, review and maintenance.
* Assist in managing and tracking global Compliance training and communications (e.g., Compliance bulletins)
* Assist with and help coordinate regulatory (SEC, NFA) examinations and inquiries. * Assist in the preparation of several of the adviser entities' regulatory filings (i.e., Form ADV, CTA-PR, Form TA-1, Form TA-2).
* 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 in the coordination with the Firm's Global Compliance team with respect to various initiatives (regulatory and global).
Skills required (essential)
* BA/BS required
* 1-3 plus years compliance or other applicable experience
* Excellent communication skills, both written and oral
* Working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 ERISA, other securities laws and applicable regulation a plus
* 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 business lines supported; ability to influence at all levels without direct authority
* Ability to handle highly confidential and sensitive information
* Create, update and deliver training for internal clients and other team members regarding applicable laws, regulations, policies and procedures
Skills desired
* Prior policies and procedures experience
* Proficiency with SharePoint and similar; excel; word; PowerPoint presentations.
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.
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, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Department Profile
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.
Background on the Position
Global investment management firm seeks a Compliance Professional to join the Investment Management Compliance Department supporting the asset management businesses under Morgan Stanley Investment Management. Morgan Stanley Investment Management, together with its investment advisory affiliates, has more than 580 investment professionals around the world and $403 billion in assets under management or supervision as of December 31, 2014. The Compliance Department is seeking an experienced individual to assist in enhancing an appropriate compliance program for the investment management businesses, to support the businesses in complying with applicable securities laws and regulations, and to assist the broader mission of the Department to foster adherence to the Firm's Policies and Procedures.
Primary Responsibilities
* Be an integral part of the compliance unit responsible for the maintenance of policies and procedures applicable to the firm's SEC-registered investment advisers and the products they advise and sponsor, global Compliance training and the management of regulatory developments.
* Assist in the development and implement policies and procedures in response to new regulatory initiatives (i.e., Dodd-Frank; CFTC) and business changes.
* Assist in the Investment Management Annual Compliance Plan with respect to policy creation, review and maintenance.
* Assist in managing and tracking global Compliance training and communications (e.g., Compliance bulletins)
* Assist with and help coordinate regulatory (SEC, NFA) examinations and inquiries. * Assist in the preparation of several of the adviser entities' regulatory filings (i.e., Form ADV, CTA-PR, Form TA-1, Form TA-2).
* 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 in the coordination with the Firm's Global Compliance team with respect to various initiatives (regulatory and global).
Skills required (essential)
* BA/BS required
* 1-3 plus years compliance or other applicable experience
* Excellent communication skills, both written and oral
* Working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 ERISA, other securities laws and applicable regulation a plus
* 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 business lines supported; ability to influence at all levels without direct authority
* Ability to handle highly confidential and sensitive information
* Create, update and deliver training for internal clients and other team members regarding applicable laws, regulations, policies and procedures
Skills desired
* Prior policies and procedures experience
* Proficiency with SharePoint and similar; excel; word; PowerPoint presentations.
Your Privacy Choices