Private Markets Compliance Associate

Morgan Stanley

Base: $80,000 - $115,000 py; bonus/equity: commiss...
3+ years compliance experience at broker-dealer or investment advisor
Active series 7 and series 24 licenses required
Experience reviewing marketing materials and performance advertising
This role involves advising EquityZen and the Private Markets business on building compliant, scalable products and platforms

Job Summary

  • This role involves advising EquityZen and the Private Markets business on building compliant, scalable products and platforms.
  • The team provides advice from product inception to management, ensuring alignment with regulatory initiatives and creating efficient controls.
  • Morgan Stanley offers a comprehensive benefits package and opportunities for career advancement within a diverse global workforce.

Matching Summary

This role involves advising EquityZen and the Private Markets business on building compliant, scalable products and platforms.

Salary

Base: $80,000 - $115,000 per year; Bonus/Equity: Commission, incentive compensation, discretionary bonuses possible; Benefits: Comprehensive employee benefits and perks

Skills & Requirements

Must-have

  • 3+ years compliance experience at broker-dealer or investment advisor
  • Active Series 7 and Series 24 licenses required
  • Experience reviewing marketing materials and performance advertising
  • Working knowledge of securities laws and FINRA rules
  • Proactive issue-spotting and risk-based monitoring skills

Nice-to-have

  • Experience in private placements or secondary markets
  • CAMS certification preferred
  • Interest in Canadian Securities Course or Exempt Market Products Exam
  • Strong desire to teach others about legal obligations
  • Ability to adapt guidance to new emerging markets

Key Requirements

  • 3+ years experience in compliance role
  • Active Series 7 license
  • Active Series 24 license
  • Experience with SEC/FINRA regulations
  • Securities law knowledge

Work Rights

Not specified

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