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Vice President Of Workforce And Career Development
Recruited by Austin Area Urban League 1 year ago
Address Austin, Texas Metropolitan Area, United States
Calvert Research And Management Advisory Compliance, Vice President - Hybrid
Company | Morgan Stanley |
Address | City of Washington County, DC, United States |
Employment type | FULL_TIME |
Salary | |
Category | Financial Services,Investment Banking,Investment Management |
Expires | 2023-07-04 |
Posted at | 11 months ago |
Legal and Compliance Division Overview
- Well-developed organizational skills to manage time sensitive issues, prioritize effectively, and deliver results
- Occasional travel to affiliate offices
- Strong communication skills, both written and verbal
- Detail and execution oriented, with ability to maintain a high standard of accuracy while managing various tasks simultaneously
- Draft/ review regulatory filings, including Form ADV
- Supporting compliance program matters and projects
- Sound knowledge of applicable securities laws, including Investment Advisers Act and Investment Company Act
- Draft and update policies and procedures
- Self-starter with ability to work well independently and in a team environment, work well under pressure and deadlines, while managing multiple projects
- Review and evaluate new product proposals
- Review investment management agreements to identify and interpret investment guidelines
- Present in due diligence meetings with clients and/or prospective clients
- Computer literacy - working knowledge of Windows-based applications such as Word, Excel and PowerPoint
- Support the CCO by leading major projects and drive enhancements for the compliance group
- Provide compliance advisory coverage to business personnel and support functions in a fast-paced and dynamic environment
- Assist the CCO in maintaining a 206(4)-7 compliance program appropriate to Calvert and reflective of industry best practices and regulatory requirements/expectations
- At least 10 years' prior compliance, legal or other work experience with a financial institution, such as a registered investment adviser or investment company and/or at a law firm or regulator
- Perform advisory support in connection with compliance monitoring and testing activities as part of second line oversight of the Firm's compliance with applicable regulation, and policies and procedures.
- Complete client requests, i.e., certification, questionnaires and other information requests
- Prepare and deliver compliance training
- Conduct monitoring activities as part of second line oversight of the business' compliance with guidance, regulation, policies and procedures, and investment guidelines
- Excellent knowledge of financial products and services; prior ESG/sustainability experience a major plus.
- Demonstrated leadership skills; ability to work effectively in a team-oriented environment, as well as independently; strong relationship building skills
- Strong academic background (J.D. degree, MBA, or other advanced degree strongly preferred)
- Strong service orientation and ability to communicate with and establish and maintain effective working relationships with peers, senior management, a wide array of associates, clients, Board members, external legal counsel, and other service providers
- Assess the impact of regulatory developments, support regulatory change management efforts, and providing regulatory updates to the business
- Good business judgment
- Maintain a thorough and up-to-date understanding of applicable adviser regulations and rule proposals impacting relevant business activities
- Exceptional analytical and problem-solving skills
- Intellectually curious, not afraid to challenge status quo, suggest and execute new ideas or alternative approaches
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