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Morgan Stanley · 2 months ago

U.S. Portfolio Surveillance - Investment Management - Analyst / Associate

New York, NY

Full-time

Onsite

Entry, Mid Level

$110K/yr - $130K/yr

2+ years exp

Morgan Stanley Investment Management is one of the largest global asset management organizations, seeking an Analyst or Associate to join its US Portfolio Surveillance/Investment Compliance team. The role involves daily surveillance tasks, proactive servicing, problem solving, and risk mitigation within the investment management framework.

Asset ManagementFinanceFinancial ServicesLending

Responsibilities

Perform daily Portfolio surveillance monitoring of separately managed accounts, mutual funds, and products subject to ERISA, 40 Act and UCITS using 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 relating 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

Qualification

Aladdin compliance engineInvestment compliance knowledgeFixed income knowledgeRisk mitigationProject managementClient servicingAnalytical skillsInterpersonal skillsLeadership skillsCommunication skills

Required

2 - 4 years relevant portfolio surveillance/investment compliance and client servicing needs

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/building 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 and produce results

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 creative problem-solving skills; continuous process improvement and risk mitigation mindset is a must

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