Private Markets Compliance Associate

Morgan Stanley

Base: 80,000 to 115,000 usd py; bonus/equity: poss...
Compliance role in financial services
Regulatory filings and examinations
Securities laws and finra rules knowledge
Help develop a cutting-edge FinTech marketplace by assessing and implementing new technologies, identifying opportunities for automation, and optimizing processes

Job Summary

  • Help develop a cutting-edge FinTech marketplace by assessing and implementing new technologies, identifying opportunities for automation, and optimizing processes.
  • Work cross-functionally with legal, deal, product, technology, and marketing teams while communicating directly with customers to gain valuable client exposure.
  • Morgan Stanley offers a supportive and empowering environment with comprehensive benefits and opportunities for career growth across a global network.

Matching Summary

Help develop a cutting-edge FinTech marketplace by assessing and implementing new technologies, identifying opportunities for automation, and optimizing processes.

Salary

Base: 80000 to 115000 USD per year; Bonus/Equity: Possible commission, incentive compensation, discretionary bonuses; Benefits: Comprehensive employee benefits and perks

Skills & Requirements

Must-have

  • Compliance role in financial services
  • Regulatory filings and examinations
  • Securities laws and FINRA rules knowledge
  • Cross-functional collaboration
  • Policy development and risk mitigation
  • Client communication and training

Nice-to-have

  • Experience with private placements and secondary markets
  • FinTech marketplace experience
  • Strong initiative and organizational skills
  • Proactive issue spotting and problem solving
  • Adaptability to new markets and regulations
  • Advocacy for compliance culture

Key Requirements

  • 3+ years compliance experience in broker-dealer or asset manager
  • Active Series 7 and Series 24 licenses
  • Experience reviewing marketing and performance advertising
  • Working knowledge of securities laws, FINRA, SEC, AML regulations
  • Experience with Exempt Market Dealer and Canadian securities exams
  • CAMS certification is a plus

Work Rights

Not specified

Tailored Resume

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