At a Glance
- Tasks: Monitor and ensure compliance for investment portfolios using advanced tools.
- Company: Join Morgan Stanley, a leader in investment management with a diverse culture.
- Benefits: Enjoy flexible working arrangements, competitive salary, and professional growth opportunities.
- Other info: Collaborative environment with opportunities for global projects and career advancement.
- Why this job: Make a real impact in the finance world while enhancing your skills.
- Qualifications: 3-5 years in asset management, strong analytical skills, and knowledge of compliance engines.
The predicted salary is between 60000 - 80000 £ per year.
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 escalate 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 experience of 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 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 opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents. Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.
Portfolio Guideline Compliance – Investment Management – Senior Associate in London employer: PowerToFly
Morgan Stanley is an exceptional employer, offering a dynamic work culture that prioritises collaboration and innovation within the investment management sector. Employees benefit from flexible working arrangements, robust professional development opportunities, and a commitment to diversity and inclusion, making it an ideal environment for those seeking meaningful and rewarding careers in finance.
StudySmarter Expert Advice🤫
We think this is how you could land Portfolio Guideline Compliance – Investment Management – Senior Associate in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment management industry and let them know you're on the lookout for opportunities. A friendly chat can lead to insider info about job openings that aren't even advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of compliance engines like Aladdin. Be ready to discuss how your experience aligns with the role's requirements, especially around portfolio surveillance and risk mitigation. We want you to shine!
✨Tip Number 3
Showcase your problem-solving skills! During interviews, share specific examples of how you've proactively identified process improvements or resolved compliance issues in the past. This will demonstrate your analytical mindset and ability to add value.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows you're serious about joining our team and contributing to our culture of inclusion and collaboration.
We think you need these skills to ace Portfolio Guideline Compliance – Investment Management – Senior Associate in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV speaks directly to the job description. Highlight your experience in asset management and compliance engines like Aladdin, as well as any relevant projects you've led. We want to see how your skills align with what we're looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about portfolio surveillance and how your proactive approach can benefit our team. Don't forget to mention your problem-solving skills and any process improvements you've implemented in the past.
Showcase Your Analytical Skills:In your application, be sure to highlight specific examples where you've used your analytical skills to resolve compliance issues or improve processes. We love candidates who can think creatively and tackle challenges head-on!
Apply Through Our Website:We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and ensure it gets the attention it deserves. Plus, you'll find all the details you need about the role there!
How to prepare for a job interview at PowerToFly
✨Know Your Compliance Engines
Make sure you brush up on your knowledge of compliance engines, especially Aladdin. Be ready to discuss how you've used it in past roles and any specific challenges you've faced. This will show that you're not just familiar with the tool but can also leverage it effectively.
✨Demonstrate Your Problem-Solving Skills
Prepare examples of how you've identified process improvements or mitigated risks in previous positions. Use the STAR method (Situation, Task, Action, Result) to structure your answers, making it clear how your proactive approach has led to positive outcomes.
✨Engage with Portfolio Managers and Traders
Think about how you've collaborated with portfolio managers and traders in the past. Be ready to share specific instances where your communication skills helped enhance guideline compliance or improve service levels. This shows you understand the importance of teamwork in investment management.
✨Stay Updated on Market Practices
Familiarise yourself with current fixed income and equity product trading practices, as well as UCITS regulations. Being able to discuss recent trends or changes in the market will demonstrate your commitment to staying informed and your ability to adapt to new challenges.
