Investment Management - Portfolio Guideline Compliance - Associate

at  Morgan Stanley

Investment Management - Portfolio Guideline Compliance - Associate
Job Number:

3259689
POSTING DATE: Sep 24, 2024
PRIMARY LOCATION: Europe, Middle East, Africa-United Kingdom-United Kingdom-London
EDUCATION LEVEL: Bachelor’s Degree
JOB: Asset/Investment Management
EMPLOYMENT TYPE: Full Time
JOB LEVEL: Associate

DESCRIPTION

Investment Management - Portfolio Guideline Compliance - Associate
London
Company Profile
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. We can provide a superior foundation for building a professional career – a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Department Profile
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Morgan Stanley Investment Management (MSIM), together with its investment advisory affiliates, has more than 700 investment professionals and over $715 billion in assets under management or supervision. Morgan Stanley Investment Management strives to provide outstanding long-term investment performance, service and a comprehensive suite of investment management solutions to a diverse client base, which includes governments, institutions, corporations and individuals worldwide.
The Role
Morgan Stanley Investment Management is currently recruiting for an Associate role within EMEA Portfolio Surveillance. Main duties are a combination of proactive servicing, problem solving, proactive risk mitigation and project work, and daily surveillance tasks.

What will you be doing?

• Perform daily Portfolio Surveillance monitoring of separately managed accounts, mutual funds, and products subject to UCITS using Sentinel AND Aladdin 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.

QUALIFICATIONS

What we’re looking for:

• Recent 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 desirable and Aladdin 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.

Flexible work statement:
Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.
Equal opportunities statement:
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.

• Perform daily Portfolio Surveillance monitoring of separately managed accounts, mutual funds, and products subject to UCITS using Sentinel AND Aladdin 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