Morgan Stanley
U.S. Portfolio Surveillance - Investment Management - Analyst / Associate
Morgan Stanley, New York, New York, us, 10261
Overview
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U.S. Portfolio Surveillance - Investment Management - Analyst / Associate
role at
Morgan Stanley . Morgan Stanley Investment Management (MSIM) is one of the largest global asset management organizations, with more than 40 years of history, a presence in 24 countries, and $1.5 trillion in assets under management as of March 31, 2024. MSIM provides 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. Role context: 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, delivering 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. The ideal candidate will have experience covering large US asset managers, and be well-versed in US regulations governing investment advisers and companies. Role title within the team: Analyst or Associate, US Portfolio Surveillance Team. Main duties include proactive servicing, problem solving, risk mitigation, project work, and daily surveillance tasks. Primary responsibilities include Perform daily portfolio surveillance monitoring of separately managed accounts, mutual funds, and products subject to ERISA, 40 Act and UCITS using the 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 related 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. Qualifications 2 - 4 years of relevant portfolio surveillance/investment compliance and client servicing experience 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 skills Highly proactive, energetic, well organized, flexible, and focused on client service, highly motivated with the ability to multi-task and remain organized in a fast-paced environment 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 problem-solving skills; continuous process improvement and risk mitigation mindset 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 What You Can Expect From Morgan Stanley We are committed to maintaining a first-class service and high standard of excellence. Our values—putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back—guide the decisions we make every day. We offer a supportive environment with attractive and comprehensive employee benefits and perks. There are opportunities to move within the business for those who show passion and grit in their work. For more about our offices, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser. Expected base pay rates for the role will be between $110,000 and $130,000 per year at the start of employment. Base pay is determined on an individualized basis and is part of the total compensation package, which may also include commission earnings, incentive compensation, discretionary bonuses, and other Morgan Stanley sponsored benefits. Morgan Stanley is an equal opportunity employer. We are committed to diversifying our workforce and ensuring equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, gender identity, sexual orientation, national origin, citizenship, disability, marital or civil partnership status, pregnancy, veteran or military status, genetic information, or any other characteristic protected by law.
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U.S. Portfolio Surveillance - Investment Management - Analyst / Associate
role at
Morgan Stanley . Morgan Stanley Investment Management (MSIM) is one of the largest global asset management organizations, with more than 40 years of history, a presence in 24 countries, and $1.5 trillion in assets under management as of March 31, 2024. MSIM provides 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. Role context: 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, delivering 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. The ideal candidate will have experience covering large US asset managers, and be well-versed in US regulations governing investment advisers and companies. Role title within the team: Analyst or Associate, US Portfolio Surveillance Team. Main duties include proactive servicing, problem solving, risk mitigation, project work, and daily surveillance tasks. Primary responsibilities include Perform daily portfolio surveillance monitoring of separately managed accounts, mutual funds, and products subject to ERISA, 40 Act and UCITS using the 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 related 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. Qualifications 2 - 4 years of relevant portfolio surveillance/investment compliance and client servicing experience 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 skills Highly proactive, energetic, well organized, flexible, and focused on client service, highly motivated with the ability to multi-task and remain organized in a fast-paced environment 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 problem-solving skills; continuous process improvement and risk mitigation mindset 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 What You Can Expect From Morgan Stanley We are committed to maintaining a first-class service and high standard of excellence. Our values—putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back—guide the decisions we make every day. We offer a supportive environment with attractive and comprehensive employee benefits and perks. There are opportunities to move within the business for those who show passion and grit in their work. For more about our offices, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser. Expected base pay rates for the role will be between $110,000 and $130,000 per year at the start of employment. Base pay is determined on an individualized basis and is part of the total compensation package, which may also include commission earnings, incentive compensation, discretionary bonuses, and other Morgan Stanley sponsored benefits. Morgan Stanley is an equal opportunity employer. We are committed to diversifying our workforce and ensuring equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, gender identity, sexual orientation, national origin, citizenship, disability, marital or civil partnership status, pregnancy, veteran or military status, genetic information, or any other characteristic protected by law.
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