Team - IM India Portfolio Surveillance – Associate
Company Profile
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Department Profile
Morgan Stanley Investment Management (MSIM), together with its investment advisory affiliates, has more than $1.8 Trillion in assets under management or supervision as of September 30, 2025. 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.
The Role
Morgan Stanley Investment Management is currently recruiting for an associate role for the India Portfolio Surveillance team in Mumbai. Main duties are a combination of post-trade monitoring, proactive front office support, problem solving, proactive risk mitigation project work, and daily surveillance tasks.
Key Responsibilities
- Monitor daily post-trade investment activity to ensure compliance with client mandates, regulatory requirements, and internal investment guidelines – using automated compliance monitoring systems Aladdin and Sentinel.
- Perform daily manual post-trade compliance checks outside of the automated compliance systems to confirm executed trades adhere to client guidelines, fund restrictions and regulatory limits.
- Review, analyse, and document post-trade breaches, distinguishing between passive and active, including root-cause analysis and escalation in accordance with established procedures.
- Coordinate with portfolio management, trading, and operations teams to validate trades, correct data issues, and resolve post-trade exceptions.
- Maintain accurate records of post-trade reviews, breach investigations, approvals, and remediation actions.
- Validate positions, exposures and restrictions using post-trade compliance system tools.
- Support enhancements to post-trade monitoring controls, including rule testing, data quality checks, and process improvements.
- Support client due diligence by preparing monthly and quarterly client compliance certifications.
- 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.
Key Requirements:
- 4-6 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, SEC and 1940 Act, SEBI, HK SFC, Singapore MAS 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, prioritize, and produce results.
- Knowledge of compliance engines (Aladdin and/or Sentinel is required).
- High integrity, reliability, and collaborative outlook to support development, implementation, and enhancement of global policies and practices.
- Bachelor’s Degree required and any other relevant academic course a plus
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.
To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.
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.
For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.
