Director of Investments

POSITION SUMMARY

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The Director of Investments provides exceptional service to our clients and support Financial Advisor(s)(FAs)/ Private Wealth Advisor(s) (PWAs)/ teams on a daily basis. The Director of Investments is a senior service level position for a Financial Advisor(s) (FAs)/ Private Wealth Advisor(s) (PWAs)/ teams who is responsible for helping clients achieve their investment goals by developing, maintaining, and overseeing the strategic investment policy and program at the direction of the FA/PWA/team. This industry professional leads the oversight of the team’s reporting, and performance metrics while reviewing asset allocation models with the FA/PWA/team. This professional must have strong organizational, analytical and communication skills to effectively discuss investment strategies with the

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FA/PWA/team.

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DUTIES and RESPONSIBILITIES:

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• Reviews and oversees investment functions including the oversight of policies, procedures,

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reporting and performance metrics via firm approved resources and systems

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• Partners with FA/PWA/team on the selection and oversight of investment managers, the

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development of asset allocation models and executes the implementation of the investment

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strategy

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• Establishes relationships within the investment community to ensure access to best-in-class

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research and managers

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• Evaluates investment managers on behalf of FA/PWA/team, if necessary, to re-balance assets and

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terminate and hire managers to ensure managers and investment mandates align with the

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investment policy

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• Reviews and sharing insights regarding the appropriate benchmarks for the current asset allocation

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to the FA/PWA/team

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• At the request of FA/PWA/team, participating in existing client and/or prospective client meetings,

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representing the service lens

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• Serve as a coordinator for business matters related to the team, ensuring that they are directed to

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the appropriate contact, addressed properly, efficiently and judiciously, and track progress until

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resolved

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• At the direction of the client and/or FA/PWA/team, preparing and reviewing various client reports

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or financial plans from firm-approved systems for existing or prospective clients

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EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS:

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Education and/or Experience

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• 10+ years of work experience in a field relevant to the position required

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• Advanced degree or professional certification or prior industry experience required

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• Active Series 7 (GS) and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) required

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• Additional product licenses may be required

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Morgan Stanley

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EOE committed to diversifying its workforce.

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M/F/D/V

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Version: 7/10/2024

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Morgan Stanley

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Director of Investments

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Job Description

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Knowledge/Skills

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• Strong leadership skills

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• Knowledge of financial services products, including but not limited to equities, bonds, options,

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mutual funds, annuities, insurance, and managed accounts

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• Technically proficient and quick learner of new and updated platforms

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• Detail oriented with superior organizational skills and ability to prioritize

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• Expert knowledge of basic personal computer, MS Office (particularly MS Excel) and internet

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applications

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• Exceptional writing, interpersonal and client service skills

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• Strong time management skills

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• Team player with the ability to collaborate with others

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• Ability to work in a fast-paced, evolving environment

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• Adaptable and ability to multi-task

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• Goal oriented, self-motivated and results driven

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Reports to:

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• Market Business Service Officer and/or Business Service Officer

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Morgan Stanley

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EOE committed to diversifying its workforce.

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M/F/D/V

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Version: 7/10/2024

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Expected base pay rates for the role will be between $90,000 and $130,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

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Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

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It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

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Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).