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Vice President, Policies and Procedures-ADV experience

Morgan Stanley

This is a Full-time position in New York, NY posted February 22, 2021.

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.Professionals within Legal and Compliance 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 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.Morgan Stanley Investment Management seeks a compliance professional to join the Investment Management Compliance Department with a primary focus on development of Compliance policies, and manage regulatory requirements.Morgan Stanley Investment Management, together with its investment advisory affiliates, has more than 580 investment professionals around the world and $463 billion in assets under management or supervision as of December 31, 2018. The Compliance Department is seeking an experienced compliance professional to administer the compliance component of the New Product Approval process as well as take an active role within the Advisory Compliance function in order to assist the Department’s broader mission of fostering adherence to applicable rules, regulations, and policies through the development of compliance oversight, controls, and training programs.Report to the Head of Policies, Training and Regulatory Initiatives, and support the group’s responsibilities to monitor regulatory developments, communicate those changes to relevant stakeholders, help devise processes to meet regulatory obligations and participate in meeting certain regulatory reporting requirements. Candidate will also be responsible to:* Manage regulatory requirements program to complete and timely file new and existing regulatory obligations (e.g., Form ADV; CPO and CTA exemptive filings; CFTC exemptive filings and Canadian provincial regulators as appropriate, such as the OSC) which includes the ongoing identification of new and updated obligations that are primarily owned by MSIM Compliance* Coordinate annual Compliance Policy review process, develop Compliance policies and procedures, including identifying potential enhancements and the need for development of new policies and procedures* Partner 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* Manage and coordinate regulatory examinations and inquiries acting as main point of contact with the Regulatory Relations Group* Manage Compliance Program Reviews (quarterly and annually) as required pursuant to Rule 38a-1 and Rule 206(4)-7* 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.* Supporting special projects, including product development, launch of new funds and investment products, and other investment management-related matters.* Developing and delivery of specialized training on complex regulatory topics.Skills required (essential)* 8-10 years’ experience providing legal/regulatory advice in the investment management industry and a strong understanding of the institutional asset management business, excellent judgement, communication and interpersonal skills.* Excellent knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940.* Working knowledge of other applicable laws and regulations, including other securities laws, both in the US and overseas, FINRA, ERISA, and CFTC regulation.* Excellent written and oral communication skills, judgment and analytical skills.* Ability to work well with others as well as demonstrate independent initiative.* Strong academic background.* Ability to manage and prioritize various projects.* Ability to work directly with demanding clients in the business and with senior management.* JD strongly preferred.#LI-JJ1