Vice President Compliance Program Oversight

About the role

The Core Compliance, Oversight and Governance team is responsible for the framework, governance and oversight functions within Invest Management Compliance. The Vice President - Compliance Program Oversight supports the design, implementation, and ongoing effectiveness of MSIM's global Compliance Program, including the 1940 Act Compliance Program. This role partners closely with the Chief Compliance Officers of the 1940 Act Funds and registered investment advisers (RIAs), Legal, Risk, and business stakeholders to maintain a compliance governance framework across the RIAs and U.S. registered funds that meets applicable regulatory requirements and standards.

Since 1935, Morgan Stanley has been a global leader in financial services, evolving and innovating to serve clients and communities in more than 40 countries. The position plays a critical role in supporting Board governance, regulatory compliance, and enterprise-wide risk oversight. The individual will lead key program initiatives, including Fund Policy alignment across multiple fund complexes, and contribute to broader program efforts.

Responsibilities

• Support the Chief Compliance Officers (CCOs) in administering and enhancing MSIM's Compliance Program, ensuring adherence to Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940.
• Serve as a key coverage lead for the service provider oversight program for registered investment companies by conducting comprehensive due diligence reviews of fund service providers. Responsibilities include onboarding assessments, ongoing monitoring, and evaluation of control environments, service delivery, operational resilience, and regulatory compliance.
• Support the implementation and execution of the Firm's Non-Financial Risk Assessment (NFRA) framework, partnering with stakeholders to identify, assess, monitor, and report non-financial risks while ensuring alignment with regulatory requirements and enterprise risk management standards.
• Lead the preparation of Board and senior management reporting, including quarterly compliance reports, dashboards, executive summaries, and ad hoc presentations. Coordinate across Compliance, Legal, Risk, and business stakeholders to deliver accurate, timely, and consistent reporting to the 1940 Act Fund Boards, senior management, and regulators. Track, manage, and drive resolution of action items arising from Board and governance meetings.
• Support the 1940 Act Funds' compliance testing program by planning and executing risk-based annual compliance reviews. Ensure testing is appropriately scoped, thoroughly documented, and aligned with regulatory expectations. Monitor findings, remediation efforts, and emerging risk trends, and oversee incident management activities, including control failures, policy violations, and regulatory issues.
• Monitor and evaluate the effectiveness of compliance controls and governance processes, identifying opportunities for enhancement and partnering with stakeholders to implement sustainable solutions that strengthen the overall compliance framework and risk management environment.

Requirements

• Bachelor's degree required.
• 8+ years of compliance, legal, audit, risk, or regulatory experience.
• Significant experience supporting:
  • Registered Investment Advisers (RIAs), Registered Investment Companies (40 Act Funds), and Compliance programs under Rules 206(4)-7 and 38a-1.
  • Prior experience interacting with fund boards, senior management, or regulators.
• Strong working knowledge of:
  • Investment Advisers Act of 1940, particularly Rule 206(4)-7.
  • Investment Company Act of 1940, particularly Rule 38a-1.
  • Fund governance requirements.
  • Fiduciary obligations of advisers.
  • SEC examination priorities and enforcement trends.
  • Service provider oversight frameworks.

Benefits

At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

Pay

Expected base pay rates for the role will be between $105,000 and $185,000 per year at the commencement of employment. Base pay is determined on an individualized basis and is only part of the total compensation package, which may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.