Morgan Stanley
Fixed Income U.S. Portfolio Surveillance - Investment Management - Analyst / Ass
Morgan Stanley, New York, New York, us, 10261
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Fixed Income U.S. Portfolio Surveillance - Investment Management - Analyst / Associate
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Morgan Stanley . Morgan Stanley Investment Management (MSIM) is one of the largest global asset management organizations, with over 40 years of history, presence in 24 countries, and $1.5 trillion in assets under management as of March 31, 2024. MSIM aims to deliver 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. MSIM is seeking an Analyst or Associate for its US Portfolio Surveillance/Investment Compliance team within the COO office. The successful candidate will monitor MSIM's Equity, Fixed Income, and Liquidity businesses, providing proactive servicing, problem solving, risk mitigation, project work, and daily surveillance tasks. The role involves coordination with colleagues in EMEA and Asia Pacific, developing relationships with key contacts within various strategies, and collaborating with middle and back-office teams. The ideal candidate will have experience covering large US asset managers, familiarity with US regulations governing investment advisors and companies, and proficiency with compliance engines like Aladdin. Main Responsibilities
Perform daily portfolio surveillance of managed accounts, mutual funds, and products subject to ERISA, 40 Act, and UCITS using Aladdin compliance engine. Investigate, resolve, and escalate violations related to compliance pre- and post-trade incidents. Review client investment management agreements for compliance with firm requirements. Collaborate with Portfolio Managers and Traders to enhance surveillance processes and compliance effectiveness. Identify process improvements and work on global projects to enhance surveillance systems and procedures. Lead presentations on developments to stakeholders. Qualifications
2-4 years of experience in portfolio surveillance, investment compliance, or client servicing. Knowledge of Aladdin compliance engine, including reading, amending, and implementing rule coding. Experience with compliance monitoring of investment guidelines on pre- and post-trade basis. Understanding of fixed income products, trading, and market practices. Effective communication skills with investment management staff. Strong leadership, interpersonal, and relationship management skills. Proactive, organized, flexible, and client-focused. High integrity, reliability, and collaborative mindset. Ability to present technical information to non-technical audiences. Strong analytical and problem-solving skills, with a focus on process improvement. Understanding of the Investment Advisers Act, Investment Company Act, and UCITS knowledge is a plus. Bachelor's degree required. We offer a competitive salary ranging from $100,000 to $130,000, along with comprehensive benefits. Morgan Stanley values diversity and is an equal opportunity employer. Employment Details: Seniority level: Not Applicable Employment type: Full-time Job function: Finance and Sales This job posting appears active and not expired.
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Fixed Income 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 over 40 years of history, presence in 24 countries, and $1.5 trillion in assets under management as of March 31, 2024. MSIM aims to deliver 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. MSIM is seeking an Analyst or Associate for its US Portfolio Surveillance/Investment Compliance team within the COO office. The successful candidate will monitor MSIM's Equity, Fixed Income, and Liquidity businesses, providing proactive servicing, problem solving, risk mitigation, project work, and daily surveillance tasks. The role involves coordination with colleagues in EMEA and Asia Pacific, developing relationships with key contacts within various strategies, and collaborating with middle and back-office teams. The ideal candidate will have experience covering large US asset managers, familiarity with US regulations governing investment advisors and companies, and proficiency with compliance engines like Aladdin. Main Responsibilities
Perform daily portfolio surveillance of managed accounts, mutual funds, and products subject to ERISA, 40 Act, and UCITS using Aladdin compliance engine. Investigate, resolve, and escalate violations related to compliance pre- and post-trade incidents. Review client investment management agreements for compliance with firm requirements. Collaborate with Portfolio Managers and Traders to enhance surveillance processes and compliance effectiveness. Identify process improvements and work on global projects to enhance surveillance systems and procedures. Lead presentations on developments to stakeholders. Qualifications
2-4 years of experience in portfolio surveillance, investment compliance, or client servicing. Knowledge of Aladdin compliance engine, including reading, amending, and implementing rule coding. Experience with compliance monitoring of investment guidelines on pre- and post-trade basis. Understanding of fixed income products, trading, and market practices. Effective communication skills with investment management staff. Strong leadership, interpersonal, and relationship management skills. Proactive, organized, flexible, and client-focused. High integrity, reliability, and collaborative mindset. Ability to present technical information to non-technical audiences. Strong analytical and problem-solving skills, with a focus on process improvement. Understanding of the Investment Advisers Act, Investment Company Act, and UCITS knowledge is a plus. Bachelor's degree required. We offer a competitive salary ranging from $100,000 to $130,000, along with comprehensive benefits. Morgan Stanley values diversity and is an equal opportunity employer. Employment Details: Seniority level: Not Applicable Employment type: Full-time Job function: Finance and Sales This job posting appears active and not expired.
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