Public Side Advisory Compliance, Fixed Income & Liquidity DirectorApply locations Boston MA 1 Post Ofc Sq time type Full time posted on Posted 11 Days Ago job requisition id PT-3263074Morgan Stanley Overview

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management, and wealth management services. With offices in 42 countries, the Firm's employees serve clients worldwide including corporations, governments, institutions, and individuals.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 regulatory issues; 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 policymakers and the regulatory and self-regulatory agencies that govern the firm's businesses.MSIM Overview and Background on the Position

Morgan Stanley Investment Management (MSIM) offers a broad range of strategies across public and private markets. MSIM, together with its investment advisory affiliates, has more than 1,300 investment professionals around the world and $1.5 trillion in assets under management or supervision as of June 30, 2024.The Investment Management Compliance Department is seeking a compliance professional to join the Public Side Advisory Compliance team, which covers MSIM's business lines that invest in public markets. This role will specifically cover fixed income and liquidity teams, including portfolio management, trading, and research personnel. This seat is in a highly dynamic atmosphere that requires a successful balance of quick and comprehensive advice. Daily tasks will be primarily related to compliance and regulatory risks associated with buy-side investment activity and will aid in the Firm's compliance with applicable laws, regulations, and relevant policies and procedures. In addition to business stakeholders, this individual may work with colleagues in the Legal and Compliance Division across all lines of business and regions globally.Key Responsibilities

Providing advisory compliance coverage to MSIM's fixed income and liquidity investing businessesProviding advice on fiduciary conflicts of interest with respect to portfolio management, trading, and researchAssessing firmwide conflicts that involve MSIM's fixed income and liquidity public investing businessesAssessing relevant regulatory developments and their associated impacts, particularly those that pertain to investment teams in respective coverage areasMaintaining a thorough and up-to-date understanding of applicable RIA regulations and rule proposals impacting relevant business activitiesComprehensive understanding of MSIM and Firm policies and procedures; drafting and updating such documents, as requiredAssisting in preparing and delivering compliance trainingOverseeing completion of, and participating in, compliance surveillance and control frameworkProviding advisory support in connection with Compliance monitoring and testing activities as part of second line oversight of Firm compliance with applicable regulation, and policies and proceduresDevelopment and preparation of Advisory Monitoring Checks designed to provide greater oversight and assurances in relation to certain functions and processes where automated or systematic testing is not readily availableQualifications

Strong academic backgroundAbility to check and challenge investment personnel unwaveringlyIntellectually curious preferred, not afraid to challenge status quo, suggest new ideas or alternative approachesAt least five years prior work experience, relevant fields include compliance, legal or other roles with a large financial institution, asset manager, law firm, regulator or management consultancy firmStrong working knowledge of financial products and services; prior equities experience a major plusSound knowledge of securities laws and fiduciary issuesExceptional analytical and problem-solving skillsExcellent communication skills, both written and verbalStrong project management skills, with ability to effectively lead project execution and manage to timelinesDemonstrated ability to work effectively and collaboratively in a team-oriented environment, as well as independently; strong relationship building skillsWell-developed organizational skills to manage time-sensitive issues, prioritize effectively, and deliver resultsDetail and execution oriented, with ability to maintain a high standard of accuracy while managing various tasks simultaneouslyTechnologically proficient in Windows-based applications (Word, Excel, PowerPoint, and Teams), willing and able to learn new technology and leverage for analysis in assessing compliance risksWhat You Can Expect From Morgan Stanley

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find trusted colleagues, committed mentors, and a culture that values diverse perspectives, individual intellect, and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world.We're committed to bringing passion and customer focus to the business.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).

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