Portfolio Guideline Compliance Investment Management Senior Associate

Senior Associate, Portfolio Surveillance

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 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.

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.

Expected base pay rates for the role will be between $120,000 and $150,000 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.