Portfolio Guideline Compliance – Investment Management – Senior Associate

Company Overview

Morgan Stanley Investment Management (MSIM) is a global financial services firm with over $715billion in assets under management. MSIM provides investment management solutions to governments, institutions, corporations and individuals worldwide.

Role

Senior Associate – EMEA Portfolio Surveillance

Key Responsibilities

• Perform daily Portfolio Surveillance monitoring of separately managed accounts, mutual funds and UCITS products using Aladdin and Sentinel compliance engines.
• Investigate, resolve and, when necessary, escalate engine‑generated investment restriction violations.
• Provide pre‑trade overrides and review client investment management agreements to ensure firm compliance.
• Prepare responses to monthly and quarterly client certifications and questionnaires promptly.
• Identify process improvement and risk mitigation opportunities and collaborate with global portfolio surveillance, management, technology and other teams to implement enhancements.
• Lead local and global projects to improve service levels and effectiveness of surveillance systems and processes.
• Serve Portfolio Managers and Traders, strengthening surveillance processes while maintaining fiduciary responsibilities.
• Host regular service meetings and provide progress updates.
• Collaborate with Portfolio Managers and Traders to enhance guideline compliance.

Key Requirements

• 3‑5 years of experience in the asset management industry.
• Strong communication and collaboration skills with investment management staff.
• Knowledge of fixed‑income and equity products, trading and market practices; UCITS knowledge is a plus.
• Proficient in Aladdin compliance engine; knowledge of other engines optional.
• Strong analytical, creative problem‑solving, continuous process‑improvement and risk‑mitigation mindset.
• Ability to work proactively, resolve issues with urgency, manage multiple priorities and deliver results.
• Undergraduate degree (BA/BSc) required; MSc a plus.
• High integrity, reliability, collaborative outlook to support global policies.

EEO Statement

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.

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