Investment Adviser Career Center

Morgan Stanley Investment Management (MSIM) is seeking an experienced Vice President / Executive Director to lead its Third-Party Risk and Resilience function. This individual will oversee MSIM's compliance with Firm third-party risk management policies, procedures, and standards, as well as resilience obligations, while driving strong partnership and collaboration across business, technology, operations, and Firmwide stakeholder groups. The Third-Party Risk & Resilience Lead will direct third-party risk and resilience oversight for MSIM, with particular focus on third-party services which support critical business processes, outsourcing arrangements, third-party incidents, regulatory-driven initiatives, and remediation of control gaps. The role is accountable for ensuring appropriate governance, documentation, testing, reporting, escalation, evidence, and issue closure across all third-party risk and resilience obligations. The successful candidate will lead a team...

At Franklin Templeton, we believe success is built through powerful partnerships. As a forward thinking asset manager, we build dynamic relationships with clients, understand their goals, and navigate complex markets together. We leverage cutting edge strategies and deep insights to unlock opportunities for long term wealth creation. Our talented, global teams bring expertise that is both broad and unique. From our welcoming, inclusive, and supportive culture to our globally diverse business, we offer opportunities not only to help you reach your potential, but also to contribute to our clients’ success. About the Position The successful candidate will support the firm's compliance program across registered private equity funds, private debt funds, and exchange-traded funds (ETFs), ensuring adherence to applicable regulatory requirements and internal policies. This role will work closely with investment, operations, legal, product, and distribution teams to identify,...

Job Description The New York City Comptroller’s Office works to promote the financial health, integrity, and effectiveness of New York City government, in order to strengthen trust, secure a thriving future for all New Yorkers, and build a more just, equitable, and resilient city. Led by an independently elected citywide official, the comptroller’s office provides checks and balances needed to hold City government accountable for budgeting wisely, investing responsibly, operating efficiently, acting fairly, living up to its obligations and promises, and paying attention to the long-term challenges we face together. The Bureau of Asset Management is responsible for oversight of the investment portfolios of the five New York City pension systems. Through a culture of collaboration, individual development, and teamwork that leverages diverse talent and strives for continuous improvement, the goal of the Bureau of Asset Management is to achieve exceptional investment outcomes...

A Career with Point72's Compliance Team The Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm’s compliance policies, providing real-time advice, and conducting pre- and post-trade surveillance. Our team is essential to Point72’s success and we provide mentorship, a growth path, and the opportunity for a long-term career with us. What you'll do Provide real-time compliance coverage for traders, providing clear, actionable guidance on trade approvals and trading conduct Support and enhance the trading compliance program for the firm’s trading desks, driving measurable improvements in controls and monitoring Manage cross-functional coordination with legal, risk, operations, finance, technology, and third-party vendors to implement and enhance compliance solutions Build and enhance pre-trade and post-trade surveillance processes, including...