Compliance Program Oversight Coverage - Code of Ethics Director (Equivalent to AVP)

Dublin

JR026703

Morgan Stanley Investment Management (“MSIM”) is a leading worldwide asset management business, offering investment management services to global investors in equity, fixed-income, asset allocation and alternative investment products including private equity, venture capital and real estate opportunities on a worldwide basis. MSIM offers its products through fund vehicles (such as UK OEICs, Luxembourg SICAVs and US Mutual Funds, ETFs and Business Development Companies) and as separately managed institutional accounts.

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.

About Morgan Stanley

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.

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. We 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.

What will you be doing?

This role is in the Global Compliance Program Oversight coverage group’s Core Compliance/Code of Ethics team, co-reporting to a manager in Dublin and in New York. You will participate fully in delivering the Compliance program within the MSIM business, which covers various areas and may include the following:

Conduct new hire training to ensure employees are aware of their obligations under applicable regulatory requirements/internal policies.
Compile the MSIM Global population report relating to MSIM required trainings (e.g. Quarterly Transaction Reporting, Annual Certification, LM-10, MSIM Annual Compliance Training, Bad Actors Verification etc.)
Coordinate with MSIM Regional Compliance teams to obtain the MSIM and Affiliates sub-advised lists, update quarterly exhibits and related communications prior to completing CSOD tickets.
Review and follow-up, as applicable, with employees regarding disclosures submitted.
Perform systematic monitoring of employee personal transactions to assure compliance with firm and regulatory guidelines.
Perform daily post trade review of personal security transactions.
Investigate potential breaches and issue/enter confirmed violations into the CITE system.
Action tasks within the Supervisory Dashboard Roster.
Maintain procedures, process records and assist with regulatory filings.
Provide Compliance support for the Irish UCITS/AIFM management company and its European branches.
Serve as daily support to Investment Management employees, globally on ethical questions and compliance matters related to the Code of Ethics and Employee Trading Guidelines.

Where will you be working?

Dublin

Flexible work statement:

Due to the personal dealing pre-approval requirements detailed within the Code of Ethics, this role may require working US NYSE hours (generally 9am-5pm Eastern Time). If you are interested in flexible working opportunities, speak to our recruitment team to find out more. Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements.

Equal opportunities statement:

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.

Internal Applicants:

Internal mobility can be a way to grow your career and realize your professional potential. Typically, you must be in your position for at least 18 months and performing satisfactorily before applying for another job at the Firm. Internal applicants can find out more regarding career navigation, mobility guidelines and policy on our employee portal by clicking here.

What we’re looking for:

We are looking for a compliance professional at a Director level with asset management experience.

The ideal candidate:

4 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
Understanding of the investment operations process and knowledge of investments
Strong Excel skills
Attention to detail

Skills that will help you in the role:

You are driven, a good team player and your analytical & communication skills are first rate.
You remain composed under pressure, are able to effectively manage and prioritize competing priorities and work to tight deadlines while managing expectations.
You are 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.

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 https://www.morganstanley.com/about-us/global-offices into your browser.

Certified Persons Regulatory Requirements:
If this role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.

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.

Compliance Program Oversight Coverage - Code of Ethics

Job Description