At a Glance
- Tasks: Monitor and enhance compliance for investment portfolios using advanced tools.
- Company: Join Morgan Stanley, a leader in investment management with a commitment to diversity.
- Benefits: Enjoy flexible working arrangements and a supportive work culture.
- Other info: Opportunities for career growth and continuous learning in a dynamic environment.
- Why this job: Make a real impact on investment compliance while collaborating with top professionals.
- Qualifications: 3-5 years in asset management; strong analytical skills and knowledge of compliance engines required.
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 jeopardising 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, prioritise, 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 employer: PowerToFly
Morgan Stanley is an exceptional employer, offering a dynamic work culture that prioritises collaboration and innovation in the investment management sector. With a strong commitment to employee development and flexible working arrangements, we empower our team members to thrive both personally and professionally. Our diverse workforce reflects a rich tapestry of backgrounds and experiences, fostering an inclusive environment where every individual can contribute meaningfully to our mission.
StudySmarter Expert Advice🤫
We think this is how you could land Portfolio Guideline Compliance – Investment Management – Senior Associate
✨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
Get your interview game on point! Research common questions for compliance roles and practice your answers. We recommend using the STAR method (Situation, Task, Action, Result) to structure your responses and showcase your problem-solving skills.
✨Tip Number 3
Show off your knowledge! When you land an interview, be ready to discuss your experience with compliance engines like Aladdin and how you've tackled investment restrictions violations in the past. This will demonstrate your expertise and make you stand out.
✨Tip Number 4
Don’t forget to follow up! After your interview, send a quick thank-you email to express your appreciation for the opportunity. It’s a great way to keep yourself fresh in their minds and show your enthusiasm for the role.
We think you need these skills to ace Portfolio Guideline Compliance – Investment Management – Senior Associate
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the role of Senior Associate in Portfolio Guideline Compliance. Highlight your experience in asset management, especially with compliance engines like Aladdin, and showcase any relevant projects you've led.
Craft a Compelling Cover Letter:Your cover letter should tell us why you're the perfect fit for this role. Use specific examples from your past experiences that demonstrate your analytical skills and proactive approach to problem-solving in investment management.
Showcase Your Knowledge:Don’t forget to mention your understanding of UCITS and fixed income/equity products. This will show us that you’re not just applying for any job, but that you’re genuinely interested in this position and have the knowledge to back it up.
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 ensures you don’t miss out on any important updates from our recruitment team.
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. Familiarise yourself with how it works and be ready to discuss any experience you have using it. This will show that you're not just a fit for the role but also proactive about understanding the tools you'll be working with.
✨Demonstrate Your Analytical Skills
Prepare to showcase your analytical and problem-solving skills during the interview. Think of specific examples where you've identified process improvements or mitigated risks in previous roles. This will help illustrate your ability to think critically and creatively, which is essential for this position.
✨Engage with Portfolio Managers and Traders
Since collaboration is key in this role, be ready to discuss how you've effectively worked with portfolio managers and traders in the past. Highlight any experiences where you’ve enhanced guideline compliance or improved service levels, as this will resonate well with the interviewers.
✨Stay Updated on Market Practices
Brush up on your knowledge of fixed income and equity product trading practices. Being able to speak confidently about current market trends and UCITS regulations will demonstrate your commitment to staying informed and your readiness to contribute from day one.
