Vista previa de la oferta
Vice President Compliance Program Oversight
senior · Risk & Compliance
We are seeking someone to join our team as a Vice President of Compliance.
The Core Compliance, Oversight and Governance team is responsible for the framework, governance and oversight functions within Invest Management Compliance.
The Vice President - Compliance Program Oversight is responsible for supporting the design, implementation, and ongoing effectiveness of MSIM's global Compliance Program, including the 1940 Act Compliance Program. This role partners closely with the Chief Compliance Officers of the 1940 Act Funds and registered investment advisers (RIAs), Legal, Risk, and business stakeholders in maintaining a compliance governance framework across the RIAs and U.S. registered funds that effectively meets applicable regulatory requirements and standards.
Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.
The position plays a critical role in supporting Board governance, regulatory compliance, and enterprise-wide risk oversight. The individual will lead key program initiatives, including the continued Fund Policy alignment, across multiple fund complexes and will serve as a key contributor to broader program efforts. What you'll do in the role:
- Support the Chief Compliance Officers (CCOs) in the administration and enhancement of MSIM's Compliance Program, ensuring adherence to the requirements of Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940.
- Serve as a key coverage lead for the service provider oversight program for registered investment companies by conducting comprehensive due diligence reviews of fund service providers. Responsibilities include onboarding assessments, ongoing monitoring, and evaluation of control environments, service delivery, operational resilience, and regulatory compliance to ensure effective oversight and alignment with firm standards and regulatory expectations.
- Support the implementation and execution of the Firm's Non-Financial Risk Assessment (NFRA) framework, partnering with stakeholders to identify, assess, monitor, and report non-financial risks while ensuring alignment with regulatory requirements and enterprise risk management standards.
- Take a leadership role in the preparation of Board and senior management reporting, including quarterly compliance reports, dashboards, executive summaries, and ad hoc presentations. Coordinate across Compliance, Legal, Risk, and business stakeholders to deliver accurate, timely, and consistent reporting to the 1940 Act Fund Boards, senior management, and regulators. Track, manage, and drive resolution of action items arising from Board and governance meetings.
- Support the 1940 Act Funds' compliance testing program by planning and executing risk-based annual compliance reviews. Ensure testing is appropriately scoped, thoroughly documented, and aligned with regulatory expectations. Monitor findings, remediation efforts, and emerging risk trends, and oversee incident management activities, including control failures, policy violations, and regulatory issues, to ensure effective root cause analysis and timely corrective action.
- Monitor and evaluate the effectiveness of compliance controls and governance processes, identifying opportunities for enhancement and partnering with stakeholders to implement sustainable solutions that strengthen the overall compliance framework and risk management environment.
What you'll bring to the role:
- Bachelor's degree required
- 8+ years of compliance, legal, audit, risk, or regulatory experience.
- Significant experience supporting:Registered Investment Advisers (RIAs), Registered Investment Companies (40 Act Funds) and Compliance programs under Rules 206(4)-7 and 38a-1
- Prior experience interacting with fund boards, senior management, or regulators.
Strong working knowledge of:
- Investment Advisers Act of 1940, particularly Rule 206(4)-7
- Investment Company Act of 1940, particularly Rule 38a-1
- Fund governance requirements
- Fiduciary obligations of advisers
- SEC examination priorities and enforcement trends
- Service provider oversight frameworks
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.
Expected base pay rates for the role will be between 105000 and 185000 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 is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.
Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.
For more information, please visit : https://www.morganstanley.com/people-opportunities/eeo .