Morgan Stanley Wealth Management provides a range of wealth management products and services for affluent individuals, businesses and institutions. These services include brokerage and investment advisory, financial and wealth planning, credit and lending, cash management, annuities and insurance, retirement and trust.
Position Summary and Description
Alternative Investment's Product Management/Reg D Team is responsible for reviewing/ approving all client and prospect requests for Alternative Investment Products submitted through the internal Reg D system.
Regulation D (Reg D) is a Securities and Exchange Commission (SEC) regulation governing private placement exemptions. Reg D allows usually smaller companies to raise capital through the sale of equity or debt securities without having to register their securities with the SEC.
The Reg D requests are reviewed for eligibility and the jurisdictions where documents will be distributed. Reg D team works closely with International Central Processing Unit (ICPU), Product Management, Product Development, Compliance and Legal.
Assist MSWM Financial Advisors, Private Wealth Advisors and Sales Assistants with qualifying clients for investments and transfers of Alternative Investments funds.
Effectively manage and identify risk by thoroughly reviewing Reg D requests, ensuring financial eligibility and required documentation is on file, especially for entities and Non-US clients, while adhering to policy/procedures.
Work closely with the Internal Sales, ICPU, Product Development/Origination, Legal, Compliance and Operations to formulate and deliver enhancements to the Reg D system.
Responsible for fielding incoming calls on the Reg D desk and proactively making outbound calls to the branch when additional information is needed for their Reg D requests.
Coordinate with the Alternative Investments Operations Group for inquiries and modifications to the backend Fund Profile System.
5 to 10 years of financial services industry experience
Familiarity with Reg D, AIFMD, PRIIPS, AML/KYC, OFAC, World Sky Rules
Excellent verbal communication and listening skills
Attention to detail
Ability to adapt in high paced team environment with focus on innovation and flexibility
Demonstrate relationship building skills with peers and all levels of management
Extensive knowledge of Alternative Investments including Hedge Funds, Fund of Hedge Funds, Private Equity and Real Estate products
Operations Professional Series 99 License required within 6 months of employment
Internal Number: 5256990
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