Investment Management US Equity & Multi Asset Surveillance - Senior Associate

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Morgan Stanley USA
  • 23 Mar 19

Investment Management US Equity & Multi Asset Surveillance - Senior Associate

Morgan Stanley Investment Management, together with its investment advisory affiliates, has more than 608 investment professionals around the world and $482 billion in assets under management or supervision as of December 31, 2017. 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.

We are recruiting for to add a Senior Associate in the Portfolio Surveillance team within the Office of the COO.

1. Perform daily surveillance of separately managed accounts, mutual funds, and products subject to ERISA, 40 Act and UCITS. Work with other members of the global team to support the global investment and trading process.
2. Promptly review, analyze, and resolve issues relating to compliance engine-generated pre- and post-trade alerts and warnings.
3. Review prospective and existing client investment management agreements in relation to firm requirements.
4. Timely prepare responses to monthly and quarterly client certifications and client questionnaires.
5. Work effectively with key internal and external teams including Technology, Operations, Legal, Compliance, and investment management staff to solve business and regulatory driven initiatives.
6. Effectively partner with Portfolio Managers and Traders to proactively strengthen surveillance process as well as provide them with pro-active service without jeopardizing fiduciary responsibilities.
7. 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.
8. Proactively work to improve knowledge of global regulatory compliance rules .#li-kk1


1. 5 + Years relevant portfolio surveillance experience.
2. Ability to work and communicate effectively with investment management staff, including portfolio managers and traders.
3. Strong analytical and creative problem solving skills; continuous process improvement and risk mitigation mindset is a must.
4. 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.
5. Fixed income and equity product / trading / market practices knowledge is required. UCITS and Advisers Act / Company Act knowledge is a plus.
6. Knowledge of compliance engines (Sentinel and Aladdin) is a plus.
7. High integrity, reliability, and collaborative outlook to support development, implementation, and enhancement of global policies and practices.
8. BS or BA education required .#li-kk1