Equity Guideline Surveillance
Position Description
Morgan Stanley Investment Management (MSIM) is a global provider of superior investment products and services to institutional clients across multiple asset classes. MSIM Compliance supports all aspects of the investment management business including: providing information to Portfolio Managers and Trading to aid in investment decisions with respect to adherence to client and regulatory guidelines and restrictions.
MSIM's Guideline Surveillance Team is responsible for providing ongoing support to Investment Teams and Trading with respect to guidelines for Institutional Equity Funds, Separate Accounts, and ERISA Clients.
This individual will work closely with internal traders, portfolio managers, auditors, IT teams and other operational groups, i.e. corporate actions, client services and product data.
• Mitigate risk to ensure that Portfolio Managers are in compliance with investment guidelines and stated objectives
• Participate in the account opening process, which includes: review of investment management agreements, prospectuses, statements of additional information and board presentations; identify and interpret guidelines, prepare guideline summaries, code guidelines in automated compliance surveillance system, Latent Zero Sentinel (LZS), and test coding prior to account launch
• Utilize LZS to monitor accounts for compliance on a pre-trade and post-trade basis; monitor and provide overrides in connection with client and prospectus guidelines, regulatory and Firm restrictions, as well as adherence with Firmwide ownership limits; perform daily reviews of surveillance reports to detect possible regulatory, guideline or policy violations
• Provide real-time advice to front office personnel in a fast-paced, high-pressure environment
• Conduct ongoing testing of various policies and procedures
• Prepare client certifications of compliance with guideline restrictions
• Ad-hoc Projects
Skills Required
Skills Required:
• Bachelor's Degree in Business or Economics
• Understanding of the Investment Company Act of 1940, Investment Adviser Act of 1940 and ERISA
• Strong knowledge of financial products
• Strong verbal and written communication skills
verbal and written communication skills
Computer literacy - working knowledge of Windows-based applications such as Word, Excel and PowerPoint
Demonstrated ability to work effectively in a team-oriented environment
Organizational skills - to manage control over time sensitive issues and prioritizing effectively
• The individual must be detail-oriented and able to maintain a high standard of accuracy while managing various tasks simultaneously
The ability to follow instruction whilst also showing initiative in working towards project goals is essential
Skills Desired
Proficiency in Latent Zero Sentinel
• Proficiency in Bloomberg and FactSet
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