Public Side Advisory Compliance, Fixed Income & Liquidity Director

ces to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on regulatory issues; 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 are designed to 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.

MSIM Overview and Background on the Position
Morgan Stanley Investment Management (MSIM) offers a broad range of strategies across public and private markets. MSIM, together with its investment advisory affiliates, has more than 1,300 investment professionals around the world and $1.5 trillion in assets under management or supervision as of June 30, 2024.

The Investment Management Compliance Department is seeking a compliance professional to join the Public Side Advisory Compliance team, which covers MSIM's business lines that invest in public markets. This role will specifically cover fixed income and liquidity teams, including portfolio management, trading and research personnel. This seat is in a highly dynamic atmosphere that requires a successful balance of quick and comprehensive advice. Daily tasks will be primarily related to compliance and regulatory risks associated with buy side investment activity and will aid in the Firm's compliance with applicable laws, regulations, and relevant policies and procedures. In addition to business stakeholders, this individual may work with colleagues in the Legal and Compliance Division across all lines of business and regions globally.

Key Responsibilities

Providing advisory compliance coverage to MSIM's fixed income and liquidity investing businesses
Providing advice on fiduciary conflicts of interest with respect to portfolio management, trading and research
Assessing firmwide conflicts that involve MSIM's fixed income and liquidity public investing businesses
Assessing relevant regulatory developments and their associated impacts, particularly those that pertain to investment teams in respective coverage areas
Maintaining a thorough and up-to-date understanding of applicable RIA regulations and rule proposals impacting relevant business activities
Comprehensive understanding of MSIM and Firm policies and procedures; drafting and updating such documents, as required
Assisting in preparing and delivering compliance training
Overseeing completion of, and participating in, compliance surveillance and control framework
Providing advisory support in connection with Compliance monitoring and testing activities as part of second line oversight of Firm compliance with applicable regulation, and policies and procedures
Development and preparation of Advisory Monitoring Checks designed to provide greater oversight and assurances in relation to certain functions and processes where automated or systematic testing is not readily available

Strong academic background
Ability to check and challenge investment personnel unwaveringly
Intellectually curious preferred, not afraid to challenge status quo, suggest new ideas or alternative approaches
At least five years prior work experience, relevant fields include compliance, legal or other roles with a large financial institution, asset manager, law firm, regulator or management consultancy firm
Strong working knowledge of financial products and services; prior equities experience a major plus
Sound knowledge of securities laws and fiduciary issues
Exceptional analytical and problem-solving skills
Excellent communication skills, both written and verbal
Strong project management skills, with ability to effectively lead project execution and manage to timelines
Demonstrated ability to work effectively and collaboratively in a team-oriented environment, as well as independently; strong relationship building skills
Well-developed organizational skills to manage time sensitive issues, prioritize effectively, and deliver results
Detail and execution oriented, with ability to maintain a high standard of accuracy while managing various tasks simultaneously
Technologically proficient in Windows-based applications (Word, Excel, PowerPoint and Teams), willing and able to learn new technology and leverage for analysis in assessing compliance risks