Private Markets Compliance Associate

Morgan Stanley

New York, United States
Base: $80,000 - $115,000 py; bonus/equity: not spe...
On-site
Develop compliant, scalable products
Advise on product inception to management
Assess and implement new technologies
We are seeking a Compliance Associate to advise EquityZen and our quickly growing Private Markets business as we build compliant, scalable products and platforms

Job Summary

  • We are seeking a Compliance Associate to advise EquityZen and our quickly growing Private Markets business as we build compliant, scalable products and platforms.
  • In this role, you will help develop a cutting-edge FinTech marketplace by assessing and implementing new technologies, identifying opportunities for automation, and optimizing processes.
  • Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

Matching Summary

We are seeking a Compliance Associate to advise EquityZen and our quickly growing Private Markets business as we build compliant, scalable products and platforms.

Salary

Base: $80,000 - $115,000 per year; Bonus/Equity: Not specified; Benefits: Not specified

Skills & Requirements

Must-have

  • Develop compliant, scalable products
  • Advise on product inception to management
  • Assess and implement new technologies
  • Work cross-functionally with teams
  • Communicate directly with customers
  • Review advertising and marketing materials
  • Develop policies and procedures
  • Risk-based monitoring and communications review
  • Prepare regulatory filings (Form ADV, 4530)
  • Provide compliance training

Nice-to-have

  • Experience at SEC, FINRA, or OSC
  • Experience in private placements
  • Experience in FinTech marketplaces
  • Experience with Exempt Market Dealer
  • CAMS certification

Key Requirements

  • 3+ years compliance experience
  • Active Series 7 and Series 24 licenses
  • Experience reviewing marketing materials
  • Working knowledge of securities laws and regulations
  • Exceptional issue-spotting skills
  • Collaborative team player
  • Strong verbal and written communication skills
  • Comfort adapting guidance to new markets

Work Rights

Not specified

Tailored Resume

Cover Letter