Investment Management Compliance Program Oversight – CoreCompliance Coverage DublinDublinJR031762
The Legal and Compliance Division is responsible for providing legal and regulatory support for all aspects of the global Investment Management business. We are looking to appoint a permanent team member within the Compliance Program Oversight coverage group’s Core Compliance/Code of Ethics team in Dublin. 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, you will work closely with team members based in London, Paris, Milan, Boston, New York, Washington DC, Atlanta, Minneapolis, Seattle, Mumbai, Tokyo, Singapore, Australia, Korea and Hong Kong.
What will you be doing?
This role is in the Global Compliance Program Oversight coverage team’s Core Compliance function, reporting to the Head of Compliance in Dublin. You will participate fully in delivering the compliance program within the MSIM business, with a focus on compliance support for the Irish Management Company including management, tracking and communication of IM compliance program.
Candidate will also be responsible to:
Provide compliance support for the Irish UCITS/AIFM management company and its European branches as support to the Designated Person for Regulatory Compliance.
Preparation and collation of board and other governance reports for MSIM EMEA fund ranges and local legal entities.
Assist with the coordination, management, implementation and tracking of the MSIM compliance training plan, including assisting to represent IM in the firm‑wide training efforts, providing reporting to senior management and hosting regular global meetings with relevant shareholders and SMEs.
Assist in the maintenance of a technology‑based regulatory tracker that serves as a point of reference for the Investment Management Legal & Compliance Division to document and track implementation of new regulatory initiatives.
Assist and coordinate responses to DDQs and RFPs that are directed to the team, according with SMEs and stakeholders as appropriate.
Assist to support partnership with business units and work closely with Legal and Compliance colleagues to track new products, strategies, and entities as appropriate to ensure appropriate disclosure and identify policy enhancements or updates.
Support special projects, including product development, launch of new funds and investment products, and other investment management‑related matters.
What we’re looking for:
We are looking for a compliance professional at a Director level with asset management experience.
Ideal candidate
7 years+ 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 ability to multi‑task, effectively prioritize responsibilities and produce results
Strong analytical and creative problem‑solving skills; ability to generate creative alternatives to identified issues
Strong relationship building skills; ability to develop and foster trust‑based relationships with the various stakeholders
Understanding of the investment operations process and knowledge of investments
Strong Excel skills
Attention to detail
Skills that will help you in the role
Driven, a good team player and analytical & communication skills are first‑rate
Remain composed under pressure, able to effectively manage and prioritize competing priorities and work to tight deadlines while managing expectations
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
Certified Persons Regulatory Requirements
This role is deemed as a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.
Where will you be working?
Our Dublin office
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.
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 opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.
#J-18808-Ljbffr