Marketing Compliance Registered Principle
Position Category: Investment/Asset Management
Position Title: Marketing Compliance Registered Principle
Job Level: Vice President
Location: USA - NY - New York
Education Required: Bachelors Degree
Position Description:
Morgan Stanley Investment Management (MSIM), together with its investment advisory affiliates, has 563 investment professionals around the world and $338 billion in assets under management or supervision as of December 31, 2012. MSIM strives to provide outstanding long-term investment performance, service and a comprehensive suite of investment management solutions to a diverse client base, which includes governments, institutions, corporations, financial professionals, and individuals worldwide.
The Marketing Registered Principal will review, analyze and approve communications with the public to ensure compliance with regulatory requirements, internal guidelines, and other risk related issues. The individual will develop deep product expertise and knowledge of relevant regulations to be applied in reviewing materials ranging from complex investment "white papers" to streamlined web content.
As a member of the Global Sales Distribution team, this individual will be responsible for review of traditional advertising, marketing and sales literature, as well as emerging areas including video, and other developing digital media such as internet sites, intranet sites, wikis, blogs and mobile applications that will promote thought leadership and the firm's financial products. This individual will work closely with the experts in the various marketing and Compliance areas.
Principal Responsibilities:
Ability to work with Compliance and review and approve complex materials and diplomatically communicate required edits, explain the regulatory basis for the changes and be creative in suggesting alternatives to any problematic language, and work with business units to produce strong, effective and compliant communications
Interact efficiently with business project teams, investment professionals, and team members
Maintain, as applicable, internal marketing files to fulfill broker-dealer recordkeeping requirements, distribute materials as appropriate, and related close-out activity
Proactively stay current with applicable securities laws, rules and regulations with respect to the regulation of financial product advertising and marketing
Assist with compliance training regarding marketing policies and procedures, as well as examinations and audits by internal/external parties
Assist Compliance with the design, establishment, implementation and revision of compliance system and policies and supervisory procedures
Perform special projects and other duties as assigned
Skills Required:
Qualifications:
BA/BS degree and a minimum of 7 years relevant work experience with mutual fund and advisory product marketing materials, broker-dealer regulation, compliance, audit or legal
Series 7 24 licenses required
Excellent writing and editorial skills
Proven ability to understand and communicate effectively about technical, complex compliance standards and policies. Knowledge of data analysis tools and techniques a plus
Strong administrative and organizational skills in a deadline-driven environment
Ability to work independently and also as part of a high-functioning, collaborative team of legal professionals, including the ability to form relationships at all levels of the organization
Ability to multi-task, prioritize, and work effectively with personnel of all levels
Proficiency with Microsoft Office tools
Strong ability to prioritize and handle multiple tasks, and to be detail oriented in a fast-paced, deadline driven environment
Interest in, and comfortable with, emerging communications technology, both for working with colleagues and for assessing the use of marketing content in emerging communications channels, including social media
Specialized regulatory compliance knowledge relevant to securities marketing – for example, familiarity with GIPS requirements, retirement plans or investment techniques is a plus
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