Portfolio Guideline Compliance – Investment Management – Senior Associate

MSIM - Portfolio Surveillance – Senior Associate

Role Overview

Morgan Stanley Investment Management is recruiting for a senior associate in the EMEA Portfolio Surveillance team. The role combines proactive front office support, problem solving, risk mitigation project work, and daily surveillance tasks.

• Perform daily Portfolio Surveillance monitoring of separately managed accounts, mutual funds, and products subject to UCITS using Aladdin and Sentinel as compliance engines.
• Promptly investigate, resolve and escape engine-generated investment restrictions violations relating to compliance pre‑ and post‑trade violations. Provide pre‑trade overrides when required.
• Review prospective and existing client investment management agreements in relation to firm requirements.
• Timely prepare responses to monthly and quarterly client certifications and client questionnaires.
• Proactively identify process improvement and risk mitigation opportunities within the function locally and globally, and work effectively with global portfolio surveillance, management, Technology, and other groups to effect enhancements as appropriate.
• Lead local and global projects to improve service levels to the front office and improve the overall effectiveness of our surveillance systems and process/procedures.
• Proactively service Portfolio Managers and Traders without jeopardizing fiduciary responsibilities, seeking ways to enhance the overall effectiveness of guideline compliance for them. Conduct regular service meetings and proactively provide updates on progress. Effectively collaborate with Portfolio Managers and Traders to strengthen surveillance process when appropriate.

• 3–5 years of experience working in the asset management industry.
• Ability to work and communicate effectively with investment management staff, including portfolio managers and traders.
• Fixed‑income and equity product/trading/market practices knowledge required. UCITS knowledge is a plus.
• Strong analytical and creative problem‑solving skills; continuous process improvement and risk mitigation mindset is a must.
• Proactive; resolves issues with a sense of urgency; willingness to take on challenges and projects; detail oriented with ability to effectively multi‑task, prioritize, and produce results.
• Knowledge of compliance engines (Aladdin is required).
• High integrity, reliability, and collaborative outlook to support development, implementation, and enhancement of global policies and practices.
• Educated to an undergraduate degree level BA/BSc. Holding a MSc is a plus.

Certified Persons Regulatory Requirements

If this role is deemed a Certified role, it may require the role holder to hold mandatory regulatory qualifications or meet internal company benchmarks.

Flexible Work Statement

Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to the recruitment team for more information.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect a strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

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