US Guideline and Regulatory Oversight – Associate/Senior Associate US Guideline and Regulatory Oversight –  …

Morgan Stanley
in New York, NY
Permanent, Full time
Be the first to apply
Morgan Stanley
in New York, NY
Permanent, Full time
Be the first to apply
US Guideline and Regulatory Oversight – Associate/Senior Associate
Morgan Stanley Investment Management ("MSIM"), together with its investment advisory affiliates, operates in 23 countries with $1.4 Tn in assets under management or supervision as of January 15, 2021 1 . 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.

Morgan Stanley Investment Management is seeking an Associate / Senior Associate to join its US Portfolio Surveillance team within the COO office. The successful candidate will provide coverage of the MSIM 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.

Primary Responsibilities include:
  • 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.

  • 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.

  • Assist in enhancing and further developing the function's KPIs, KRIs, and additional controls. Lead presentations regarding developments to key stakeholders.

  • Review prospective and existing client investment management agreements in relation to firm requirements

  • Perform daily surveillance of separately managed accounts, mutual funds, and products subject to ERISA, 40 Act and UCITS. Partner across the global team to support the global investment and trading process.


  • 3 - 7 years relevant portfolio surveillance and client servicing needs

  • 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 problemsolving 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

  • Fixed income and equity product / trading / market practices knowledge required

  • Proficiency with the Investment Advisers Act and Investment Company Act knowledge; UCITS knowledge is a plus

  • Knowledge of Aladdin compliance engine by BlackRock is strongly preferred.

  • BS or BA education required.
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