Compliance Testing Vice President recruitment

Position Category: Legal/Compliance

Position Title: Compliance Testing Vice President

Job Level: Vice President

Location: USA - NY - New York

Education Required: Bachelors Degree

Position Description:
Global investment management firm seeks Compliance Professional to work as a member of the MSIM Compliance Department focusing on 38a-1 and 206(4)-7 Compliance Testing

• Develop, implement and execute risk-based compliance testing to review and assess the effectiveness of the firm's policies and procedures in compliance with Rules 38a-1 and 206(4)-7, including developing remediation plans for gaps identified from testing, maintaining thorough documentation, tracking and reporting of test results for MSIM's annual test plan.

• Liaise with the Firm's Financial Holding Company Testing Unit and MSIM regional testing personnel to ensure adherence to Firm testing policies and procedures.

• Managing and track the progress of the annual test plan for senior management reporting purposes.

• Coordinate with Operational Risk for MSIM's annual SSAE 16 assessment and manage deliverables for MSIM Global Compliance.

• Liaise with internal audit to leverage audit's reviews for compliance testing and coordinate other internal/external audits/reviews, as applicable.

Skills Required:
• BA/BS required with a concentration in Accounting or Finance a plus.

• 7 to 10 years experience in similar role in investment management.

• Working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 and applicable securities laws, FINRA and Department of Labor's ERISA regulations.

• Proficiency with Microsoft Excel, PowerPoint, Adobe, SharePoint, Bloomberg, and ability to quickly learn automated systems, such as trade order management systems, portfolio accounting systems, pre/post trade surveillance systems and web applications.

• The candidate must have excellent written and oral communication skills, maintains a high degree of attention to detail, is highly analytical and is a team player.

Skills Desired:
Testing or auditing experience a plus