Dublin Compliance Advisory - Manager/Director (AVP equivalent)

Morgan Stanley (Dublin, Ireland) 6 days ago

Company Profile:

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.

Department Profile:

The EMEA Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firm’s compliance with core regulatory requirements covering all businesses including Institutional Sales and Trading (fixed income, commodities, equities), Investment Banking, Global Capital Markets, Research and Investment Management across the EMEA region

Team Profile:

MSIM is a leading worldwide asset management business, offering investment management services to global investors in equity, fixed-income, asset allocation and alternative investment products including private equity, venture capital and real estate opportunities on a worldwide basis. MSIM offers its products through fund vehicles (such as UK OEICs, Luxembourg SICAVs and US Mutual Funds) and as separately managed institutional accounts.
The MSIM Legal and Compliance Division is responsible for providing legal and regulatory support for all aspects of the European, Middle East and Africa (EMEA) Investment Management business. We are looking to appoint a permanent team member within the Advisory coverage group of the EMEA MSIM Compliance team in Dublin. Following Brexit, Dublin is MSIM’s EU hub and is the location of our EU UCITS management company and alternative investment fund manager, as well as a MiFID firm offering portfolio management services. The Dublin team work closely with the rest of the EMEA Compliance team, which is based in London and Luxembourg.
Primary Responsibilities:

This role is in the Advisory coverage group, reporting to a manager in the Compliance team in Dublin. You will participate fully in delivering the Compliance programme within the IM business, which covers various areas and may include the following:
• Compliance support for the legal entities in Ireland, including the UCITS/AIFM management company and MiFID firm
• Creating and maintain relevant Compliance procedures and policies;
• Providing advice pertaining to aspects of Compliance procedures and policies to various parts of the IM business;
• Preparation and collation of board reports for our fund ranges and local legal entities;
• Oversight of regulatory filings and compliance with Irish requirements, including liaison with the Central Bank of Ireland;
• Review and approval of marketing and financial promotion material;
• Participation in the programme that ensures MSIM employees are adhering to Outside Business Interest and Personal Account Dealing policies;
• Undertaking oversight and quality assurance tests of the first line business activities;
• Liaison with Central Compliance groups e.g. Financial Crime Compliance Unit;
• Participation in Compliance reviews of parts of the MSIM business; and
• Completion of Compliance certifications.

Qualifications
Skills required:

Technical skills
We are looking for a compliance officer with a minimum of two years’ experience in asset management. The ideal candidate will be able to demonstrate:
• Sound retail and institutional asset management regulatory knowledge;
• Knowledge of the Central Bank of Ireland requirements for management companies and UCITS / AIF funds and/or knowledge and experience of MiFID;
• Practical experience of working in a cross-regional context, ideally including exposure to retail funds (Ireland, UK, and Luxembourg);
• Technical expertise with respect to relevant European laws and regulations such as, MIFID, UCITS and AIFMD;
• General understanding of the CBI management company guidance
Soft skills
You are driven, a good team player and your analytical & communication skills are first rate. You remain composed under pressure, are able to effectively manage and prioritise competing priorities and work to tight deadlines while managing expectations. You have excellent attention to detail and are naturally inquisitive. You are comfortable operating in a dynamic environment involving liaison with MSIM colleagues globally and within Morgan Stanley’s Compliance division more broadly. Familiarity with the complexities of operating within a global business model would be an advantage.
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.

Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.

Given the continued spread of COVID-19 (coronavirus), all interviews will be conducted by phone or virtual connection to protect our candidates and employees.


Dublin Compliance Advisory - Manager/Director (AVP equivalent)

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