Portfolio Guideline Compliance – Investment Management – Senior Associate

Main duties

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.

Key Responsibilities

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.

What You Can Expect From Morgan Stanley

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. Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.