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Executive Director
Morgan Stanley
New York, NY, United States
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Morgan Stanley Investment Management - Surveillance Role - Executive Director
Description
Morgan Stanley Investment Management, together with its investment advisory affiliates, has more than 608 investment professionals around the world and $482 billion in assets under management or supervision as of December 31, 2017. Morgan Stanley Investment Management strives to provide outstanding long-term investment performance, service and a comprehensive suite of investment management solutions to a diverse client base, which includes governments, institutions, corporations and individuals worldwide.
As part of a Federal Reserve Bank requirement, Morgan Stanley Investment Management is transferring the Compliance Portfolio Surveillance and coding function directly into the business. As a result of this move, we are currently recruiting for a newly created role of Executive Director, Surveillance
As part of a Federal Reserve Bank requirement, Morgan Stanley Investment Management is currently moving the Compliance Portfolio Surveillance and coding function into the business. As a result of this move, we are current recruiting for this position.
1. Recruit, manage, and develop expert equity and fixed income portfolio surveillance teams in New York, and provide daily pre- and post-trade support.
2. Participate as a leader within the global portfolio surveillance team to define and execute a global strategy that strengthens controls and improves our global service model to our portfolio managers and traders (including participating in the development and execution of a global training program for the team and Portfolio Managers/ Traders)
3. Proactively drive process improvement and risk mitigation within the local and global function; strengthen team where needed to perform accordingly.
4. Develop and maintain strong and credible relationships with investment management staff, including Portfolio Managers, Traders and support staff, and work effectively with key internal and external teams including Technology, Operations, Legal, and Compliance, to solve business and regulatory driven initiatives. Lead any and all ongoing training needs of the Portfolio Managers, Traders and the Portfolio Surveillance teams.
5. Perform daily functions, including (a) reviewing alerts and warnings generated by monitoring engines; (b) reviewing prospective and existing client investment management agreements relative to firm obligations; (c) preparing responses to monthly and quarterly client certifications and client questionnaires; and (d) providing knowledge support to Aladdin coding team as and when required.
Qualifications
1. 7+ Years Asset Management or Financial Services experience in Portfolio Surveillance. BS or BA education required. Management experience preferred.
2. Strong communication and relationship management skills; ability to develop and maintain effective relationships with senior portfolio managers, traders, and other investment management staff by understanding and timely addressing their needs.
3. Proven ability to recruit, motivate, and manage staff.
4. Strong analytical and creative problem solving skills. Continuous process improvement mind-set is essential. Detail oriented with ability to multi-task, effectively prioritize responsibilities, and produce results.
5. Knowledge of equity and fixed income products, compliance engines (Aladdin and Sentinel), and trading/market practices. Solid vendor management skills a plus; good knowledge of UCITS and Advisers Act / Company Act a strong plus.
6. High integrity, reliability, and collaborative outlook to support development, implementation, and enhancement of global policies