Investment Solutions - Product Management Reg D Specialist - Assistant
Posted on Jan 24, 2019 by Morgan Stanley USA
Position Summary and Description
Alternative Investment's Product Management/Reg D Team is responsible for reviewing/ approving all client and prospect requests for Alternative Investment Products submitted through the internal Reg D system.
Regulation D (Reg D) is a Securities and Exchange Commission (SEC) regulation governing private placement exemptions. Reg D allows usually smaller companies to raise capital through the sale of equity or debt securities without having to register their securities with the SEC.
The Reg D requests are reviewed for eligibility and the jurisdictions where documents will be distributed. Reg D team works closely with International Central Processing Unit (ICPU), Product Management, Product Development, Compliance and Legal.
• Assist MSWM Financial Advisors, Private Wealth Advisors and Sales Assistants with qualifying clients for investments and transfers of Alternative Investments funds.
• Effectively manage and identify risk by thoroughly reviewing Reg D requests, ensuring financial eligibility and required documentation is on file, especially for entities and Non-US clients, while adhering to policy/procedures.
• Work closely with the Internal Sales, ICPU, Product Development/Origination, Legal, Compliance and Operations to formulate and deliver enhancements to the Reg D system.
• Responsible for fielding incoming calls on the Reg D desk and proactively making outbound calls to the branch when additional information is needed for their Reg D requests.
• Coordinate with the Alternative Investments Operations Group for inquiries and modifications to the backend Fund Profile System.
• 5 to 7 years of financial services industry experience
• Familiarity with Reg D, AIFMD, PRIIPS, AML/KYC, OFAC, World Sky Rules
• Excellent verbal communication and listening skills
• Attention to detail
• Ability to adapt in high paced team environment with focus on innovation
• Demonstrate relationship building skills with peers and all levels of
• Extensive knowledge of Alternative Investments including Hedge Funds,
Fund of Hedge Funds, Private Equity and Real Estate products
• Operations Professional Series 99 License required within 6 months
Investment Solutions - Product Management Reg D Specialist - Assistant Vice President