At a Glance
- Tasks: Monitor portfolios, resolve compliance issues, and enhance surveillance processes.
- Company: Morgan Stanley Investment Management, a leader in asset management.
- Benefits: Flexible working arrangements, competitive salary, and a commitment to diversity.
- Other info: Opportunities for professional growth and collaboration with global teams.
- Why this job: Join a dynamic team and make a real impact in investment management.
- Qualifications: 3-5 years in asset management, strong analytical skills, and knowledge of compliance engines.
The predicted salary is between 60000 - 80000 £ per year.
Morgan Stanley Investment Management is recruiting for a senior associate in the EMEA Portfolio Surveillance team. The role combines proactive front office support, problem solving, risk mitigation project work, and daily surveillance tasks.
Key Responsibilities
- Perform daily Portfolio Surveillance monitoring of separately managed accounts, mutual funds, and products subject to UCITS using Aladdin and Sentinel as compliance engines.
- Promptly investigate, resolve and escape engine-generated investment restrictions violations relating to compliance pre‑ and post‑trade violations.
- Provide pre‑trade overrides when required.
- Review prospective and existing client investment management agreements in relation to firm requirements.
- Timely prepare responses to monthly and quarterly client certifications and client questionnaires.
- 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.
- 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.
- 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
- 3–5 years of experience working in the asset management industry.
- Ability to work and communicate effectively with investment management staff, including portfolio managers and traders.
- Fixed‑income and equity product/trading/market practices knowledge required.
- UCITS knowledge is a plus.
- Strong analytical and creative problem‑solving skills; continuous process improvement and risk mitigation mindset is a must.
- 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.
- Knowledge of compliance engines (Aladdin is required).
- High integrity, reliability, and collaborative outlook to support development, implementation, and enhancement of global policies and practices.
- Educated to an undergraduate degree level BA/BSc. Holding a MSc is a plus.
Certified Persons Regulatory Requirements
If this role is deemed a Certified role, it may require the role holder to hold mandatory regulatory qualifications or meet internal company benchmarks.
Flexible Work Statement
Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to the recruitment team for more information.
Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect a strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.
Portfolio Guideline Compliance – Investment Management – Senior Associate employer: Dormont Manufacturing Co
Morgan Stanley Investment Management is an exceptional employer, offering a dynamic work environment in the heart of EMEA. With a strong commitment to employee development and a culture of inclusion, we provide ample opportunities for growth and collaboration within our Portfolio Surveillance team. Our flexible working arrangements and focus on continuous improvement ensure that you can thrive both personally and professionally while contributing to meaningful projects that enhance our compliance processes.
StudySmarter Expert Advice🤫
We think this is how you could land Portfolio Guideline Compliance – Investment Management – Senior Associate
✨Get Involved in Finance Communities
Join investment and asset management forums or local finance meetups. Engaging with professionals in these circles can not only help you learn the ropes but also put you in touch with potential employers like Dormont Manufacturing Co, who often scout for talent at such events.
✨Utilise Networking Platforms
Connect with professionals already working in asset management on platforms like LinkedIn. A personal message showing your interest in their role or asking for advice can lead to significant connections that might tip the scales in your favour at companies like Dormont Manufacturing Co.
✨Show Off Your Financial Skills
Consider contributing to investment blogs or even creating your own content. Sharing your insights and analyses can demonstrate your knowledge and passion for the industry, making you stand out when applying for roles at organisations like Dormont Manufacturing Co.
✨Engage with Recruitment Events
Attend finance recruitment fairs and expos. These events are perfect for making a strong impression with recruiters and potentially securing interviews. Many companies, including Dormont Manufacturing Co, attend these events to scout for fresh talent, so make sure you stand out with your enthusiasm and knowledge!
We think you need these skills to ace Portfolio Guideline Compliance – Investment Management – Senior Associate
Some tips for your application 🫡
Highlight Your Analytical Skills:In asset management, it's all about the numbers! Make sure your CV showcases your analytical skills, particularly any experience with financial modelling or quantitative analysis. Employers like Dormont Manufacturing Co want to see how you can dissect data and turn it into actionable insights, so don't hold back on your achievements!
Show Off Your Relevant Qualifications:Having the right qualifications can be a game changer in investment roles. If you've got a degree in finance, economics, or a related field, flaunt it! Also, if you have any certifications like CFA or CAIA, mention those too. It’ll help demonstrate your commitment and expertise in the field to Dormont Manufacturing Co.
Tailor Your Cover Letter to Reflect Passion for Investment:Your cover letter is your chance to express your enthusiasm for the investment world. Share why you're drawn to asset management and your understanding of market trends. The hiring team at Dormont Manufacturing Co will be keen to see that passion and how you keep up with industry news and developments.
Quantify Your Achievements:Don’t just tell them what you did - show them! When detailing your previous experience, include quantifiable achievements to illustrate your impact. Whether it’s percentage growth on a portfolio or cost savings in a project, these figures will help your application stand out to Dormont Manufacturing Co. Numbers speak louder than words!
How to prepare for a job interview at Dormont Manufacturing Co
✨Brush Up on Financial Modelling
For a role in investment asset management, being well-versed in financial modelling is crucial. Make sure you can articulate your experience with tools like Excel or any specialised software you've used. Maybe even prepare a couple of examples of financial models you've built or analysed.
✨Know Your Investment Strategies
Expect questions around different investment strategies and how you would apply them in various market scenarios. Get ready to discuss current market trends and how they impact portfolio management. This shows you're not just about the theory but also keeping an eye on real-world applications.
✨Show Your Analytical Skills
Since this is a full-time role, companies like Dormont Manufacturing Co want to see your analytical thinking in action. Prepare to solve case studies or tackle some numerical puzzles during the interview. Practicing these types of questions will boost your confidence and show off your skills.
✨Discuss Your Long-Term Career Goals
As you’re applying for a full-time position, the interviewers will be interested in your commitment to the field. Be ready to discuss how this role fits into your long-term career plans in asset management. This shows you're not just looking for any job, but you’re genuinely interested in growing withDormont Manufacturing Co.
