Msim Regulatory Oversight - Vice President

Morgan Stanley Investment Management (“MSIM”) is a global investment manager with over 40 years of history delivering innovative investment solutions across public and private markets worldwide. We have $1.4Tn of AUM with professionals located across 21 countries, with a proven long‐ term track record of success. Our investment teams bring significant expertise in structuring complex financial transactions and commitment to partnering with world‐ class management teams. Morgan Stanley’s extensive business relationships and global network of resources afford our private equity and credit teams as well as our portfolio companies’ unparalleled access to leading corporations, executive talent, as well as competitive deal sourcing advantages.

The Successful Candidate Will Provide Support To The MSIM Organization, Including

MSIM is seeking a Vice President to join its Global Regulatory Oversight Team within the Office of COO.

Management of the day-to-day efforts related to first line of defense regulatory oversight mainly assisting in the monitoring of overall status of newly proposed and final global regulatory rules and related projects.

Assist in overseeing the strategy, design, development, implementation, evaluation, and ownership of compliance solutions for final regulations.

Assist in organizing and managing various industry working groups and MSIM participation in rule proposal comment period responses.

Maintain master regulation tracker of all Proposed, Final, and Post-Implementation regulatory initiatives to accurately identify regulations in-scope for monthly monitoring meetings based on compliance deadlines, RAG status ratings, and project criticality.

Prepare monthly and quarterly management materials for reporting to the Regulatory Oversight Committee and various Senior Management meetings.

Prepare materials for use in rule specific regional working groups and Steering Committee meetings.

Facilitate regular regional meetings with working groups to discuss regulation implementation efforts, functional and business engagement, and monitor detailed integration plans.

Coordinate globally with business partners in Operations, Technology, Legal, Compliance, Finance and Risk.

Monitor regulatory reporting obligations across the functions to ensure timely and complete submissions to regulators. Assist in the development of the monitoring process and controls/oversight. Timely escalation to management of any potential reporting issues. Produce relevant management reporting.

In Addition To The Above, The Candidate May Be Asked To Help Support The Volcker Rule And Bank Holding Company Act Investment Monitoring Process Which May Include

Review of monthly Volcker reports across all funds to identify any missing key data attributes, variances, and to confirm compliance with applicable firm ownership thresholds. Resolve and/or escalate any missing data, notable data variances, and/or ownership threshold limits as required.

Ongoing Communication And Interaction With Various MSIM Functions To Identify And Resolve Technical And Operational Issues Around The Ability To Monitor Funds Effectively Including

Proactive reconciliation of data inputs to identify and escalate issues to responsible functions. Work closely with those functions to track and ensure issues are resolved promptly.

Proactively work with various IT teams to strengthen the strategic monitoring platform including enhancing system capabilities and usability while focused on improving data dependencies and controls.

Answer queries from and provide explanations of data discrepancies to the Business groups to enable proper review and sign-off of each month’s report.

Assist in completing quarterly monitoring processes and data controls including but not limited to legal entity population completeness, investor account and fund regulatory classifications.

Assist in continuing to enhance framework and controls for the strategic monitoring platform.

Assist in preparing fund ownership and compliance metrics for the Volcker Compliance Office, Regulatory Oversight Committee, and other teams/committees as required.

Provide support to QB’s monthly sign-off process and escalations when needed.

Assist in review of the monthly BHC merchant banking report generated on the strategic system platform and work with various functions to confirm accurate data collection and implement improvements where required.

Qualifications

Strong project management and leadership skills including project governance and communication.

Strong organizational skills with the ability to multi-task across a range of projects with shifting priorities.

Good understanding of our global business models, systems, and structures across Public and Private Sides.

Quick learner with a drive to understand detailed process flows, as well as overall strategic considerations.

Independent self-starter who is also a collaborative problem solver.

Commitment to delivering high quality work product with a strong focus on attention to detail.

Financial Regulatory Experience Preferred.

Good communication skills and ability to collaborate across functions, regions, investment teams.

Analytical thinker who can provide practical solutions to mitigate risk.

Strong orientation toward process management and control improvement.

Advanced level of Power Point and Excel skills strongly preferred.

Wage Transparency Statement

Expected base pay rates for the role will be between $125,000 and $200,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

Posting Date

May 2, 2023

Primary Location

Americas-United States of America-New York-New York

Job

Asset/Investment Management

Employment Type

Full Time

Job Level

Vice President