Regulatory Oversight and Management - Investment Management, Office of COO - Associate
$80k - $145kMorgan Stanley
Morgan Stanley Investment Management (MSIM) is one of the largest global asset management organizations of any full-service securities firm, with more than 40 years of history, a presence in 24 countries, and a total of $1.9 trillion in assets under management as of December 31, 2025. MSIM strives to provide strong long-term investment performance, outstanding service, and a comprehensive suite of investment management solutions to a diverse client base, which includes governments, institutions, corporations, and individuals worldwide. MSIM is seeking an Associate to join the Global Regulatory Oversight Team within the Office of COO. Key Responsibilities:Manage the day-to-day efforts related to the first line of defense of regulatory oversight, by monitoring, assessing, and tracking regulatory developments impacting MSIM globallyLead the strategy, design, governance, and implementation of regulatory change projects by developing project plans, tracking milestones, escalating risks and dependencies, and coordinating execution across functional stakeholders such as Legal, Compliance, Operations, Technology, Finance, Risk, and Investment TeamsLead MSIMs engagement in various industry working groups Maintain a master tracker of all proposed, final, and post-implementation regulatory initiatives for accurate reporting to senior management.Assist with preparing monthly and quarterly management materials for reporting to the Regulatory Oversight Committee and various Senior Management meetings.Prepare clear, concise regulatory summaries, implementation updates, issue escalations, and briefing materials for working groups, senior management, governance committees, and regulatory oversight forums.Support the facilitation of regular regional meetings with working groups to discuss regulation implementation efforts, functional and business engagement, and monitor detailed integration plans.Qualifications:Strong project management and leadership skills including experience with project governance, stakeholder coordination, issue escalation, control improvement and clear communication.Highly organized, with the ability to manage multiple priorities and workstreams simultaneously in a fast-paced environment with shifting deadlines.Understanding of global investment management’s business models, systems, and structures across public and private markets.Quick learner and independent self-starter who takes ownership of deliverables while working collaboratively to solve complex problems.Commitment to delivering high quality work product with a strong focus on attention to detail.Strong communication skills and ability to collaborate across functions, regions, and investment teams.Analytical thinker who can provide practical and strategic solutions to mitigate risk.Advanced Power Point and Excel skills.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 into your browser.Expected base pay rates for the role will be between $80,000 and $145,000 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.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: .Employment Type:Full timeJob Level:ProfessionalPosted Date:Jul 08, 2026ATS Job Description Test:Department:Admin/Support
$108k - $145k
...and agility. This means investing in talent,... ...will work at an MUFG office or client sites four days... ...seeking a Credit Risk Associate who will be part of our growing Portfolio Management Group. You will handle... ...evaluation of corporate, regulatory and industry risk, historical...Work at officeRegulatoryFull timeWork experience placementLocal areaRemote work- Citi Wealth COO Office seeks a Vice President to lead administrative and analytics functions, including audits, business continuity planning, and regulatory oversight, across a global wealth management framework. This role emphasizes cross-functional collaboration with...Work at officeRegulatory
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...under the Chief Operating Officer and consists of three... ...stakeholders. The Associate on the MDS Compliance... ...of compliance, vendor management, and business stakeholder... ...will you do? Provide oversight on best practices of... ...vendor policies, and regulatory requirements for stakeholders...RegulatoryFull timeWork experience placementFlexible hours$120k - $160k
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Job Title: Director, Associate Counsel - Wealth Department... ...including separately managed accounts and model-... ...and will handle regulatory issues and general legal... ...documents, board actions, investment management agreements... ...global organization In-office collaboration in...Work at officeRegulatoryImmediate startRemote workWork from home- ...participants. As an Associate in Business... ...solutions meet firm and regulatory standards,... ...governance forumsProvides oversight and support... ...roleProject and process management skills, including... ..., and Microsoft Office SuitePreferred... ...are a leader in investment banking, consumer...Work at officeRegulatory
$100k - $150k
...a wide range of investment banking, securities, investment management and wealth management... ...more than 1,200 offices in 43 countries.... ...seeking a Senior Associate/Vice President to... ..., trading, and regulatory use casesPartner... ...OversightProvide oversight and escalation support...Work at officeRegulatoryContract workTemporary workWorldwide$238.8k - $318.3k
...partner to the Chief Privacy Office, Compliance, Risk,... ...activities). Incident response and regulatory engagement (cybersecurity and... ...response, strategy, investigation oversight, notification analysis, and... ...objectives. Leadership/Management Competencies: * Proven people...Work at officeRegulatoryFull timeTemporary workLocal areaRelocation package3 days per week$100k - $140k
...providing a wide range of investment banking, securities, investment management and wealth management... ...from more than 1,200 offices in 43 countries.As a market... ...provides independent oversight across the Firm's... ...internal policies and regulatory requirements> Collaborate...RegulatoryTemporary workWork experience placementWorldwide- ...Advisory/Fund Formation Associate (3rd–4th Year) Location... ...in its New York office. This is an exciting opportunity... ...operation of private investment funds, as well as legal, regulatory, and compliance matters... ...investors ~ Ability to manage multiple responsibilities...Work at officeRegulatory
$135k - $200k
...and agility. This means investing in talent,... ...will work at an MUFG office or client sites four days... ...This individual may have oversight of a small team of junior... ...the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities...Work at officeRegulatoryFull timeLocal areaRemote work$120k - $130k
...Operations Trading Controls Associate Corporate Title:... ...divisions: Wealth Management, Investment Management,... ...within the Global Middle Office function, a core component... ..., Shared Services, Regulatory Reporting and Wealth... ...responsibility and oversight for the US portfolio...Work at officeRegulatoryWorldwideRelocation package- ...development firm that develops, invests, constructs, and manages properties with... ...in NYC with direct oversight of a portfolio of assets... ...Monitor compliance with regulatory programs associated with individual properties... ...in Microsoft Office Suite, including the ability...Work at officeRegulatory
$115.84k - $173.76k
...Operations Chief Administrative Office (CAO) organization sitting... ...Markets Chief Operating Office (COO) provides the connective... ...of Staff, Expense & Resource Management, Ops In-Business Risk, and Strategic... ...record leading controls, regulatory implementation, or strategic...Work at officeRegulatoryFull time- ...dynamic, multi-strategy investment firm. Enhance... ...DescriptionHedge Fund Operations Manager OverviewThe Hedge Fund... ...policies and external regulatory requirements while... ...activities, fund administrator oversight, and reconciliations... ...closely with Middle Office, Finance, Treasury,...Work at officeRegulatory
$125k - $198k
...Global Sanctions Advisory Oversight Specialist... ...reputation of Deutsche Bank by managing the Bank’s risks and... ...organization up-to-date on regulatory and political... ...Laundering Compliance Officer position will advise on... ...all businesses within Investment Bank or Corporate Bank...Work at officeRegulatoryFull timeWork from home- ...role of Chief Administrative Officer (CAO). Reporting to the President... ..., the CAO will oversee and manage essential support services... ...safety standards, and other regulatory requirements.TechnologyLead the... ...proper plans for future growth, oversight, protocols, performance...Work at officeRegulatoryPermanent employmentLocal area
- TD Bank US Compliance is seeking a Senior Compliance Business Oversight Manager to provide senior-level, independent compliance risk oversight for key U.S. Corporate Office programs, including Regulation O, Regulation W, and the Volcker Rule. The role collaborates with...Work at officeRegulatory
$110k - $145k
...transforming the retirement investment landscape and is... ...valuation advisor.Recalculate management and incentive fees to... ....Contribute to the oversight of the third-party tax... ...to comply with regulatory requirements.Contribute... ...role will work in the office Monday-Thursday, with...Work at officeRegulatoryFull timeRemote work$180k - $200k
...the Chief Financial Officer (CFO) and Executive Vice... ...strategic financial management. The Vice President... ...forecasting, effective audit, investment, and finance... ...funding cycles. Grant Oversight and Nonprofit... ...accounting standards, regulatory requirements, and funder...Work at officeRegulatory- ...exceptional Chief Operating Officer to lead Norbert Health's next... ...commercial, operational and regulatory engine — from go-to-market execution... ...ambitions into reality. The COO will run the operational side... ...success, and account management functions Build and enforce operational...Work at officeRegulatoryFull time
$165k - $275k
...Finance-Wide Audit and Control Oversight lead serves as a key senior... ...to effective risk management, regulatory compliance, and continuous... ...Operations, Chief Accounting Officer, Finance Management and Finance... ...by offering a wide range of investment banking, securities, wealth...RegulatoryTemporary work$110k - $145k
...candidate will additionally manage all fund accounting... ....Provide oversight of fund administrators... ...positions and liquidity of investments, reconciliations, and... ...fund docs as well as regulatory filings and requirements... ...role will work in the office Monday-Thursday, with...Work at officeRegulatoryFull timeRemote work$250k - $275k
We are looking for an Investment Banking Operations Officer to join our Investment Banking... ...development, business management, and operational excellence... ..., including budget oversight, revenue tracking, headcount... ...Compliance and Legal to support regulatory requirements, supervisory...Work at officeRegulatoryTemporary workWorldwide$215k - $290k
...Information Security & Risk Oversight Lead Location New York... ...of Defense, the Chief Risk Office and reporting directly to our... ...intersection of technology, risk management, cybersecurity, governance,... ...control frameworks, and regulatory expectations. * Partner closely...Work at officeRegulatoryTemporary workFor contractorsWork experience placement$95k - $120k
...client is a bank. They seek a Senior Associate to join their Manhattan, NY office.ResponsibilitiesPrepare financial... ...reports and analysis for management, headquarters, treasury, and corporate... ...business decisionsCompile regulatory reports and ensure accurate reporting...Work at officeRegulatoryLocal areaRemote work- ...operational, counterparty, regulatory, political, sponsor,... ...to senior risk management and committee members.... ...preserving independent risk oversight. Ensure credit... ...within commercial banking, investment banking, credit... ...in Excel and Microsoft Office; programming knowledge...Work at officeRegulatoryFull timeLocal area
$135k - $175k
...leadership skills to join its COO Group. This individual... ...TO-DAY As a COO Group associate, you’ll be tasked with... ...and proposing new office locations, helping to... ...DESRI, our renewable investments arm. WHO WE'RE... ...required. Experience managing projects and processes...Work at office- ...shape how strategic asset management and insurance clients... ...alignment with regulatory, KYC, legal, risk, and... ...related credit portfolio oversight including underwriting... ...required.Strong Microsoft Office skills including Excel... ...we are a leader in investment banking, consumer and...Work at officeRegulatory
$185k - $250k
...must be willing to work from NYC Office (hybrid setup). About The... ...focused Chief Operating Officer (COO) to design, scale, and run our... ...Operating System: Design and manage the company’s strategic... ...Compliance functions to embed regulatory, contractual, privacy, security...Work at officeRegulatory
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