MSIM Alternative Investment Partners (AIP) Senior Compliance Officer

Morgan Stanley Senior Compliance Officer

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.

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 ~$1.3 trillion in assets under management or supervision as of end of December 2022.

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) hedge fund solutions; (2) private markets; 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 a senior compliance officer within the team to execute and enhance the compliance program, and aid 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.

Key Responsibilities

• 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 procedure
• 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

Qualifications

• Strong academic background (J.D. degree, MBA, or other advanced degree strongly preferred)
• 7-10 years of 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
• Sound knowledge of applicable securities laws, including Investment Advisers Act and Investment Company Act
• Exceptional analytical and problem-solving skills
• Strong communication skills, both written and verbal
• Demonstrated leadership skills; 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

Role allows option of working in office and from home on a set schedule (amount of flexibility to be defined by hiring manager and business unit). In line with Company expectations, minimum in office requirement is 3 days

Expected base pay rates for the role will be between 110,000 and 190,000 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'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.

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.

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