Investment Management - Portfolio Surveillance – Analyst

Morgan Stanley; London; On-site; GBP 40,000 - 80,000; Full time

Job summary

An established industry player is seeking a proactive Analyst for EMEA Portfolio Surveillance. This role involves monitoring compliance, resolving investment restrictions, and enhancing surveillance systems. The ideal candidate will have experience in asset management and strong analytical skills, contributing to a culture of excellence and collaboration. You'll work alongside talented professionals, driving process improvements and supporting portfolio managers and traders. This position offers a unique opportunity to grow in a dynamic environment that values diversity and innovation, making a significant impact in the financial services sector.

Benefits

Flexible working arrangements

Comprehensive employee benefits

Supportive work environment

Opportunities for career advancement

Qualifications

• Recent experience in asset management is essential.
• Strong analytical and problem-solving skills required.

Responsibilities

• Monitor daily Portfolio Surveillance and compliance violations.
• Identify process improvements and lead local/global projects.

Skills

Analytical Skills

Problem Solving

Communication

Knowledge of UCITS

Attention to Detail

Education

Undergraduate Degree (BA/BSc)

Master's Degree (MSc)

Tools

Sentinel

Aladdin

Bloomberg

Job description

Investment Management - Portfolio Surveillance – Analyst

Company Profile

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 1,200 offices in 43 countries.

Department Profile

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.

Morgan Stanley Investment Management (MSIM), together with its investment advisory affiliates, has more than 700 investment professionals and over $715 billion in assets under management or supervision. 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.

The Role

Morgan Stanley Investment Management is currently recruiting for an analyst role of EMEA Portfolio Surveillance. Main duties are a combination of proactive servicing, problem solving, proactive risk mitigation and project work, and daily surveillance tasks.

Key Responsibilities

1. Perform daily Portfolio Surveillance monitoring of separately managed accounts, mutual funds, and products subject to UCITS using Sentinel AND Aladdin as compliance engines.
2. Promptly investigate, resolve and escalate engine-generated investment restrictions violations relating to compliance pre- and post-trade violations. Provide pre-trade overrides when required.
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. 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.
6. Lead local and global projects to improve service levels to the front office and improve the overall effectiveness of our surveillance systems and process/procedures.
7. Proactively service Portfolio Managers and Traders without jeopardizing fiduciary responsibilities, seeking ways to enhance the overall effectiveness of guideline compliance for them. Conduct regular service meetings and proactively provide updates on progress. Effectively collaborate with Portfolio Managers and Traders to strengthen surveillance process when appropriate.

Key Requirements:

1. Recent experience of working in the asset management industry.
2. Ability to work and communicate effectively with investment management staff, including portfolio managers and traders.
3. Fixed income and equity product / trading / market practices knowledge required. UCITS knowledge is a plus.
4. Strong analytical and creative problem solving skills; continuous process improvement and risk mitigation mindset is a must.
5. 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.
6. Knowledge of compliance engines (Sentinel, Bloomberg, Aladdin is desirable).
7. High integrity, reliability, and collaborative outlook to support development, implementation, and enhancement of global policies and practices.
8. Educated to an undergraduate degree level BA/BSc. Holding a MSc is a plus.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

Certified Persons Regulatory Requirements:
If this role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.

Flexible work statement
Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.