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Description - External

Morgan Stanley Investment Management (“MSIM”), together with its investment advisory affiliates, operates in 23 countries with $1.5 Tn in assets under management or supervision as of December 31, 2023. 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 to join its US Portfolio Surveillance/Investment Compliance team within the COO office. The successful candidate will provide coverage of the MSIM business (Equity or Fixed Income/Liquidity) 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.  
• 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.

Qualifications - External

• 3 - 5 years relevant portfolio surveillance/investment compliance and client servicing needs
• Knowledge of compliance engines (i.e., Sentinel, Charles River, Aladdin) and proficiency in compliance coding is strongly preferred
• Perform daily compliance monitoring of IMA/Prospectus/Memorandum Guidelines in CRD/Aladdin/Sentinel on pre and post-trade basis
• Yearly review and analysis of investment management agreements, investment policy statements, mutual fund prospectus and SAI documents to interpret necessary requirements and restrictions with Investment Team/Legal
• 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
• 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 
• BS or BA education required.

Wage Transparency Statement

Expected base pay rates for the role will be between $95,000 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.

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).