Portfolio Guideline Compliance Senior Associate

Job Description

Overview

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.

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.

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.

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 giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

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.

Responsibilities

Perform daily Portfolio Surveillance monitoring of separately managed accounts, mutual funds, and products subject to 40Act 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.

Qualifications

Educated to an undergraduate degree level BA/BSc. Holding a MSc is a plus.

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.
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.

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About Company

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.