Portfolio Surveillance – Investment Management – Senior Associate

Morgan Stanley • New York, NY

1d

About The Position

Morgan Stanley Investment Management (MSIM) is currently recruiting for a senior associate role for the Portfolio Surveillance team. This role involves a combination of proactive front office support, problem-solving, proactive risk mitigation project work, and daily surveillance tasks. MSIM, together with its investment advisory affiliates, has over 700 investment professionals and more than $715 billion in assets under management or supervision. MSIM strives to provide outstanding long-term investment performance, service, and a comprehensive suite of investment management solutions to a diverse client base, including governments, institutions, corporations, and individuals worldwide.

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.
• 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.

Nice To Haves

• UCITS knowledge is a plus.
• Holding a MSc is a plus.

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.

Benefits

• Ample opportunity to move about the business for those who show passion and grit in their work.
• Attractive and comprehensive employee benefits and perks in the industry.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Number of Employees: 5,001-10,000 employees