Job Description

Morgan Stanley Investment Management (MSIM) is one of the largest global asset management organizations of any full-service securities firm, with more than 40 years of history, a presence in 24 countries, and a total of $1.5 trillion in assets under management as of March 31, 2024. MSIM 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.

Morgan Stanley Investment Management 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 providing 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 specific experience covering large US asset managers (an affiliate of a bank holding company is a plus), would be well-versed in US regulations governing investment advisors and companies.

The Role

Morgan Stanley Investment Management is currently recruiting for an analyst or associate within the US Portfolio Surveillance Team. Main duties are a combination of proactive servicing, problem solving, proactive 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 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.

Qualifications:

• 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.

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

Expected base pay rates for the role will be between $100,000 and $130,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

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