Morgan Stanley is a leading global financial services Firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 747 offices in 42 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture
Duties
Performing daily surveillance of separately managed accounts, ERISA and mutual funds.
Promptly review, analyze, and resolve issues relating pre- and post-trade incidents alerts and warnings for investment guidelines surveillance.
Review prospective and existing client investment management agreements for compliance with their investment guidelines requirements.
Prepare responses to monthly and quarterly client certifications and client questionnaires.
Perform global surveillance tasks and responsibilities, as part of the global seamless trading model for the Surveillance function globally. Participate in global strategic initiatives within the global Surveillance function.
Work closely with various internal and external teams including IT, Operations, Legal, Compliance and investment team to solve business and regulatory driven initiatives.
Proactively identify process improvement and risk mitigation within the function locally and globally, and working with the global portfolio surveillance, management, and Technology to execute/resolve as appropriate.
Partner with Portfolio Managers and Traders to proactively strengthen surveillance process.
Work with global colleagues to execute global operational model, including daily tasks and overall process improvements/risk mitigations.
Perform global surveillance tasks
Qualifications:
Skills
3-10 Years Asset Management or Financial Services experience in Portfolio Surveillance.
Ability to effectively work with and communicate to portfolio managers and traders.
Analytical and creative problem solving skills. A driver for process improvement and risk mitigation is a must.
Detail oriented with ability to multi-task, effectively prioritize responsibilities and produce results.
Competent with all financial products across all asset classes (Equity, Derivatives, Fixed Income, etc.).
Knowledge of investment guidelines relating to global investment vehicles such as UCITS and 40 Act Funds as well as regional market regimes such as QFII, FPI, Stock connect etc.
Knowledge of compliance engines LZ Sentinel or equivalent is critical.
Well versed in using Excel and Macros.
Relationship building skills/ global team-player.
Proactive / Self-starter and go-getter; Job requires a willingness to take on responsibilities and challenges.
Strong verbal and written communication skills in English. Proficiency in Business Mandarin is a plus.
Internal Number: 4711217
About Morgan Stanley
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