Regulators and other supervisory bodies continue to enhance their monitoring and oversight of the financial sector, while expectations regarding firms' ability to detect and report market abuse or other misconduct continue to increase.
An opportunity has arisen within Parametric Portfolio Associates, an affiliate of MS Investment Management, reporting to the Parametric Executive Director (based in Seattle). The role will focus on the execution and development of Parametric's portfolio management and trade surveillance program and the delivery of strategic projects to support the Firm in identifying and mitigating market abuse, trade surveillance and other market misconduct risks.
We are looking for an experienced and high caliber individual to assist in executing and enhancing the Parametric Compliance program focusing on equity and fixed income SMAs and aiding Morgan Stanley Investment Management in complying with applicable laws and regulations. Duties include: -Assist Parametric CCO and senior Compliance team in advising and supporting the Investment Management businesses on a wide range of internal and transaction-related compliance matters -Preparing oversight metrics -Assist in managing workflow and projects of the compliance team -Monitor trade error corrections and verify such errors are properly documented and reported internally -Review and respond to client due diligence questionnaires and compliance certifications -Developing training materials and assist in conducting training sessions; communicating compliance/regulatory updates to the business -Conducts reviews and testing of the firm policies and procedures to verify that they are adequate and effective -Monitors and surveilles trade orders to detect possible regulatory, guideline or policy violations -Interpreting U.S. regulations and helping to implement appropriate solutions for the investment advisory business -Provide real-time advice to front office personnel and support functions in a fast-paced, high-pressure environment -Working with Legal and Compliance colleagues in other jurisdictions when reviewing new business products and initiatives -Periodic analysis and updates of compliance policies and procedures -Compliance risk identification and mitigation -Periodic risk assessments -Developing relationships with other Compliance areas within the Firm to leverage functions such as monitoring and testing teams, global financial crimes, risk, etc.
Assisting in identifying and developing modifications to the Parametric Compliance program -Bachelor's Degree -3 to 5 years' prior compliance, legal, or other work experience with a financial institution such as a registered investment adviser or investment company or at a law firm and/or regulator -Highly analytical with understanding of financial products, and solid understanding of investment management industry and relevant SEC rules and regulations -Ability to quickly understand, evaluate, articulate, and resolve complex issues -A team player who is willing to share and learn from others -Business minded/conscious -Strong project management skills, and experience in handling significant regulatory change initiatives -Detail oriented, motivated and able to multi-task in a fast paced, high pressure environment -Strong written and verbal communication skills -Organizational skills to manage control over time sensitive issues and prioritize effectively -The ability to follow instruction and to also show initiative in working towards project goals is essential -Proficient skills using Microsoft Office systems, especially PowerPoint and Excel -Experience with Workfront and Tableau a plus
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