U.S. Portfolio Surveillance - Investment Management - Analyst / Associate

Morgan Stanley • New York, NY

99d • $110,000 - $130,000

About The Position

Morgan Stanley Investment Management (MSIM) is seeking an Analyst or Associate to join its US Portfolio Surveillance/Investment Compliance team within the COO office. The successful candidate will provide coverage of the MSIM Equity, Fixed Income and Liquidity businesses providing proactive servicing, problem solving, risk mitigation and project work, and daily surveillance tasks. The candidate will coordinate with colleagues in EMEA and Asia Pacific, develop relationships with key contacts within the various strategies and other middle office and back-office colleagues.

Requirements

• 2 - 4 years relevant portfolio surveillance/investment compliance and client servicing needs.
• Knowledge of Aladdin compliance engine and proficiency in compliance – ability to read, amend and implement Aladdin rule coding is required.
• Perform daily compliance monitoring of IMA/Prospectus/Memorandum Guidelines in Aladdin on pre and post-trade basis.
• Fixed income product / trading / market practices knowledge required.
• Ability to work and communicate effectively with investment management staff, including portfolio managers and traders.
• Strong leadership, interpersonal, influencing and relationship management/building skills.
• Highly proactive, energetic, well organized, flexible, and focused on client service.
• High integrity, reliability, and collaborative outlook to support development, implementation, and enhancement of global policies and practices.
• Ability to summarize and present technical information to a non-technical business audience.
• Team oriented with a strong sense of ownership and accountability.
• Strong analytical and creative problem-solving skills; continuous process improvement and risk mitigation mindset is a must.
• Ability to think strategically and build on system capabilities.
• Proficient understanding of the surveillance and compliance process including risk assessments and project management.
• Proficiency with the Investment Advisers Act and Investment Company Act knowledge; UCITS knowledge is a plus.
• BS or BA education required.

Responsibilities

• Perform daily Portfolio surveillance monitoring of separately managed accounts, mutual funds, and products subject to ERISA, 40 Act and UCITS using Aladdin compliance engine.
• Partner across the global team to support the global investment and trading process.
• Promptly investigate, resolve and escalate engine-generated investment restrictions violations relating to compliance pre- and post-trade incidents.
• Review prospective and existing client investment management agreements in relation to firm requirements.
• Service and partner with Portfolio Managers and Traders, seeking ways to strengthen the surveillance process and enhance the overall effectiveness of guideline compliance.
• Conduct regular service meetings and provide updates on progress.
• Proactively identify process improvement and risk mitigation opportunities within the function locally and globally, and work with global portfolio surveillance, management, technology, and other functions to effect enhancements.
• Lead local and global projects focused on improving service levels and effectiveness of surveillance systems, processes, and procedures.
• Lead presentations regarding developments to key stakeholders.

Benefits

• Comprehensive employee benefits and perks.
• Opportunities for career advancement within the company.
• Support for employees and their families at every point along their work-life journey.

What This Job Offers

• Career Level: Entry Level
• Education Level: Bachelor's degree
• Number of Employees: 5,001-10,000 employees