Portfolio Guideline Compliance – Investment Management – Senior Associate

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

Department Profile

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Morgan Stanley Investment Management (MSIM), together with its investment advisory affiliates, has more than 700 investment professionals and over $715 billion in assets under management or supervision. Morgan Stanley Investment Management strives to provide outstanding long-term investment performance, service and a comprehensive suite of investment management solutions to a diverse client base, which includes governments, institutions, corporations and individuals worldwide.

The Role:

Morgan Stanley Investment Management is currently recruiting for a senior associate role for the Portfolio Surveillance team. Main duties are a combination of proactive front office support, problem solving, proactive risk mitigation project work, and daily surveillance tasks.

Key Responsibilities:

• Perform daily Portfolio Surveillance monitoring of separately managed accounts, mutual funds, and products subject to 40
  
  Act and UCITS using Aladdin and Sentinel as compliance engines.
• Promptly investigate, resolve and escalate 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.

Key Requirements:

• 5-6 years experience of 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 (Sentinel 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.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and…