GIMA Operational Due Diligence; OpDD Analyst – Vice President

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.

Global Investment Manager Analysis (GIMA), a unit within Wealth Management Investment Solutions (IS), provides comprehensive manager research on a wide range of investment strategies and vehicles. This includes separately managed accounts, mutual funds, UCITs, evergreen funds, ETFs, and private vehicles. GIMA covers various asset classes such as equity, fixed income, and alternative investments. The analysis aims to support Morgan Stanley Wealth Management's investment advisory programs by evaluating investment products and ensuring they meet the firm's investment and operational standards.

The GIMA team engages with a broad array of investment managers to identify high quality strategies for portfolios.

The GIMA Operational Due Diligence Analyst will perform operational due diligence on alternative investment funds and managers (fund-of-funds, hedge funds, private equity, real estate, alternative mutual funds, UCITS, evergreen funds (interval / tender), etc.) for new perspective managers and as part of the ongoing monitoring process for existing relationships. Additionally, the analyst will conduct operational due diligence on co-investments and direct investments as opportunities arise.

• Operational assessments will consist of either onsite meetings with senior professionals at the investment manager or a desk review of DDQs and other manager documents. Meetings or calls with key service providers such as administrators, valuation agents, auditors, etc. may be conducted as necessary.
• Areas of focus for the review process include:
• Organizational Structure & Staffing
• Fund Structure
• Internal Operations & Controls
• Valuation
• Service Providers & External Oversight
• Legal & Compliance
• Information Technology & BCP
• Assess operational infrastructure and identify key risks, documenting findings in a written report.
• Work with managers to find solutions to correct any operational deficiencies identified during the due diligence process.
• Present findings and results to internal product approval committees, as necessary.

• Interact with internal teams as appropriate, including Investment Due Diligence, Product Management, Legal, Operations, Risk, Investor Relations, and Sales as needed.
• Support a team atmosphere including idea sharing, learning, and back-up.
• Remain abreast of industry trends, regulatory matters, and market events affecting funds, managers, clients, and the industry.
• Perform project work or other responsibilities as directed by the Head of Operational Due Diligence, including financial statements review, media monitoring, and oversight of vendor relationships.

• 10-15 years of total work experience including 7-10 years of direct operational due diligence experience across various types of alternative investment products and managers (alternative mutual funds, fund-of-funds, hedge funds, real estate funds, and/or private equity).
• Solid knowledge of operational due diligence and a desire to expand skill set into other product areas within a growing team of experienced professionals.
• Some experience performing due diligence on co-investments and direct investment opportunities strongly desired, but not required.
• Undergraduate degree required; an advanced degree preferred.
• CFA, CPA, and/or CAIA not required but viewed favorably.
• Active Series7 and 63 or ability to obtain within 180 days of hire.

Expected base pay rates for the role will be between $110,000 and $185,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short- and long-term incentive packages, and other Morgan Stanley-sponsored benefit programs.

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 our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents. Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

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