The Association of Corporate Counsel (ACC) is the world's largest organization serving the professional and business interests of attorneys who practice in the legal departments of corporations, associations, nonprofits and other private-sector organizations around the globe.
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.
Legal and Compliance Division Overview
Professionals within the Legal and Compliance Division 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 are designed to 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.
MSIM AIP Overview and Background on the Position
Morgan Stanley Investment Management (MSIM) is a leading asset manager across public and private markets, focused on high conviction active management. MSIM, together with its investment advisory affiliates, has more than 699 investment professionals around the world and $507 billion in assets under management or supervision as of September 30, 2018. Alternative Investment Partners (AIP) is part of MSIM, and provides innovative alternative investment solutions to institutional clients across a range of asset classes. AIP’s advisory business focuses on discretionary investment management across three core strategies: (1) fund of hedge funds; (2) private markets fund of funds; and (3) portfolio solutions. The MSIM AIP Compliance team supports all aspects of the investment management business, including providing information to portfolio managers and traders to aid in investment decisions with respect to adherence with client and regulatory guidelines and restrictions. We are now seeking an experienced individual to join the team to assist in executing and enhancing the compliance program, and aiding the business to comply with applicable laws, regulations, and Firm policies and procedures. Among other internal stakeholders, this individual will work closely with portfolio managers, traders, operations teams, and colleagues in the Legal and Compliance Division.
Providing compliance advice to front office business personnel and support functions in a fast-paced environment
Reviewing and evaluating new product proposals
Assessing impact of regulatory developments, supporting regulatory change management efforts, and providing regulatory updates to the business
Drafting and updating policies and procedures
Preparing regulatory filings, including Form ADV
Preparing and delivering compliance training
Conducting monitoring activities as part of second line oversight of the business’ compliance with regulation, policies and procedures, and investment guidelines
Reviewing investment management agreements to identify and interpret investment guidelines
Reviewing employee activities such as personal trading, outside business interests/activities, and private investments
Supporting compliance program matters and projects
Strong academic background (J.D. degree, MBA, or other advanced degree strongly preferred)
At least seven years’ prior compliance, legal or other work experience with a financial institution, such as a registered investment adviser or investment company and/or at a law firm or regulator
Excellent knowledge of financial products, including working knowledge of alternative products
Exceptional analytical and problem solving skills
Strong communication skills, both written and verbal
Demonstrated ability to work effectively in a team-oriented environment, as well as independently; strong relationship building skills
Well-developed organizational skills to manage time sensitive issues, prioritize effectively, and deliver results
Detail and execution oriented, with ability to maintain a high standard of accuracy while managing various tasks simultaneously
Computer literacy - working knowledge of Windows-based applications such as Word, Excel and PowerPoint
About Morgan Stanley
We believe capital can work to benefit all of society. We make this belief a reality by putting clients first, leading with exceptional ideas, doing the right thing, and giving back.
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