Compliance Monitoring Executive – Director (Equivalent of AVP)
In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm’s management of legal, regulatory and franchise risk. We are looking to appoint a permanent compliance testing team member within the Global Compliance Governance and Oversight coverage group.
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, in addition to Dublin-based colleagues, you will work closely with team members based in London, Paris, Milan, Boston, New York, Washington DC, Atlanta, Minneapolis, Mumbai, Seattle, Tokyo, Singapore and Hong Kong.
What will you be doing?
This role is in the Global Compliance Governance and Oversight coverage team, reporting to the Head of Ireland Compliance in Dublin and the Investment Management Global Head of Compliance Testing in New York. You will participate fully in delivering the Compliance program within the MSIM business, with a focus on delivering the compliance monitoring program for the Irish Management Company, which covers various areas.
What you'll do in the role
- Responsible for the delivery of compliance monitoring reviews across the business units covered by the annual Compliance Monitoring Plan.
- Develop and maintain the Compliance Monitoring Risk Assessment for the Irish business.
- Enhance the Compliance Monitoring Programme as it evolves, liaising with the EMEA Compliance Coverage teams and working with the Global Compliance Testing teams, while contributing to global discussions on testing matters and sharing best practices.
- Compliance support for the Irish UCITS/AIFM management company and its European branches.
We are looking for a compliance professional at a Director level with asset management experience.
What we are looking for in the role
- 4+ years of 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 the ability to multitask, effectively prioritize responsibilities and produce results.
- Strong analytical and creative problem-solving skills, with the ability to generate practical alternatives to identified issues.
- Strong relationship-building skills and the ability to develop and foster trust-based relationships with various stakeholders.
- Understanding of the investment operations process and knowledge of investments.
- Strong Excel skills.
- Excellent attention to detail.
Skills that will help you in the role
- You are driven, a strong team player, and your analytical and communication skills are first rate.
- You remain composed under pressure and are able to effectively manage and prioritize competing priorities while working to tight deadlines and 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 opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.
Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.
For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo .