Morgan Stanley Investment Management, AIP Compliance - Associate / Manager

Morgan Stanley
New York, USA
May 21, 2022
Jun 04, 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
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.
Morgan Stanley Investment Management Alternative Investment Partners (AIP) is a global provider of superior investment products and services to institutional clients across multiple asset classes. AIP's advisory business focuses on the discretionary investment management of accounts across three strategies: (1) hedge funds; (2) private markets fund of funds; and (3) portfolio solutions. AIP Compliance supports all aspects of the investment management business including providing information to Portfolio Managers and Trading to aid in investment decisions with respect to adherence to client and regulatory guidelines and restrictions. This individual will work closely with internal traders, portfolio managers and operations.

Responsibilities include:
-Monitor investment professionals for compliance with investment guidelines and objectives
-Perform reviews of surveillance reports to detect possible regulatory, guideline or policy violations
-Participate in account opening process including attending business meetings to evaluate new products and reviewing investment management agreements to identify and interpret investment guidelines
-Perform conflict clearing of private side and over-the-wall transactions
-Review employee activities such as personal trading, outside business interests/activities, and private investments
-Monitor Bank Holding Company ownership limits
-Provide real-time advice to front office personnel and support functions in a fast-paced, high-pressure environment
-Assist with drafting policies and procedures
-Assist with preparing Form ADV
-Report regulatory updates to the business
-Assist with compliance training and development
-Prepare compliance certifications for underlying managers, sub-advisers, and clients
-Assist with other compliance program matters and projects
-Liaising, and forming a good working relationship, with colleagues within Legal and Compliance on matters pertaining to Investment Management Alternatives business #LI-SS1


Skills Required
-Bachelor's Degree in a related field
-One to three years' prior compliance, legal or other work experience with a financial institution such as a registered investment adviser or investment company or at a law firm and/or regulator
-Strong knowledge of financial products, including working knowledge of alternative products
-Strong verbal and written communication skills
-Able to handle and prioritize multiple tasks in a time-sensitive environment
-Computer literacy - working knowledge of Windows-based applications such as Word, Excel, and PowerPoint
-Demonstrated ability to work effectively in a team-oriented and independent environment
-Organizational skills - to manage control over time sensitive issues and prioritizing effectively
-The individual must be detail-oriented and able to maintain a high standard of accuracy while managing various tasks simultaneously
-The ability to follow instruction and to also show initiative in working towards project goals is essential #LI-SS1

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