Investment Management Compliance Executive Director

Profile

Investment Management Compliance Executive Director

Duties: Periodic reporting to the Funds’ Boards of Trustees, and senior management, as well as overseeing regular compliance monitoring of activities on behalf of the Funds. Serving as a primary compliance subject matter expert with respect to relevant 1940 Act regulations and assist in the maintenance of relevant compliance policies and procedures. Assisting in identifying, documenting, and monitoring compliance risks and control points. Providing compliance guidance to business partners designed to expand and enhance the compliance program. Partnering with applicable business areas and outside service providers to provide timely advice and guidance regarding compliance with federal and state securities laws and regulations and internal policies and procedures. Reviewing prospectuses, SAI, periodic reporting, advertising, and other disclosures. Providing ongoing compliance support to the funds and the adviser. Facilitating regulatory examinations of the firm’s Fund and Adviser affiliates. Monitoring performance of service providers and adherence to regulatory requirements; Assisting with the onboarding of new vendors and ongoing compliance with the Firm’s vendor policies. Participating in a wide range of ad-hoc fund related projects.

Additional Information

Job Number: 3152089

Company info

Morgan Stanley
900 South Avenue Suite 101
New York
New York
United States 10314-3426
Website : http://www.morganstanley.com/