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Vice President, Compliance Project Management

Posted on Jan 25, 2019 by Morgan Stanley USA

New York, NY 10001
22 Jan 2019
Annual Salary
Company Profile
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.
Department Profile
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.
Background on the position
Global investment management firm seeks a Compliance Professional to join the Investment Management Compliance Department with a primary focus on the project management of compliance-related initiatives and projects. Morgan Stanley Investment Management, together with its investment advisory affiliates, has more than 685 investment professionals around the world and $471 billion in assets under management or supervision as of September 30, 2018. The Compliance Department is seeking an experienced individual to assist in executing and enhancing the compliance program from a project management perspective and aiding Morgan Stanley Investment Management in complying with applicable securities laws and regulations, and foster adherence to the Firm's Policies and Procedures.

Primary Responsibilities
Work closely with the CCO, the Deputy CCO and the Compliance leadership team to deliver on high priority compliance-related initiatives and projects. The incumbent will be responsible for :
· Coordinating the compliance-related diligence for new Investment Management products and/or services; and (2) assisting in supporting and implementation other key compliance-related processes and deliverables, as appropriate.
· S erving as the program / project manager on key Investment Management compliance-related initiatives; Build and maintain project timelines and plans for execution; Ensuring success of projects by managing scope, recognizing and resolving issues, managing and motivating team, managing resource contention, and shifting priorities.
  • Developing strong relationships with the Investment Management Compliance leadership team, the Global Law and Compliance Division, and other groups throughout the Investment Management Division to drive projects/ initiatives and become a trusted partner.
  • Assisting with designing and revising Compliance-related processes and procedures.
  • Assisting with the management of the Compliance Risk Assessment and other monitoring and oversight processes.
  • Coordinating the compliance-related review of new and/or enhanced Investment Management products and services as part of the new product diligence process to effectively assess compliance risks and ensure adherence with regulatory requirements; escalating any compliance issues to new product review team.
  • Completing regular reports on status of key projects and new product approvals, as required.
  • Assisting in designing and delivering Compliance metrics and reporting to key stakeholders.
  • Participating in special projects and transactions, including potentially M&A transactions.
  • Leveraging technology to create automation solutions for compliance-related initiatives and deliverables.


· 5-10 years project management and/or new product approval experience.
· Working knowledge of applicable laws and regulations pertaining to the Investment Management industry.
  • Strong project management skills, organizational, problem-solving and planning skills, including the ability to multi-task and prioritize various projects .
  • Ability to think and plan strategically as well as the ability to execute tactically.
  • Effective team player, able to work with and influence people of all levels both internally and externally; Also, able to work independently, when needed.
  • Analytical ability to synthesize information and summarize key issues.
  • Ability to quickly develop a deep knowledge of the company, Industry, products and services.
  • Excellent communication and presentation skills.
  • Proficiency with personal computers and software packages including Microsoft Excel, Word, PowerPoint, MS Project and Visio.
  • Strong academic background (MBA, other advanced degree, or PMP certification are a plus).

Vice President, Compliance Project Management

Reference: 632775202