Wealth Management, Operational Due Diligence Analyst, - Vice President

Mo r g an S t an l ey We a lt h M a na g e m ent p r o v i des a r an g e of w e a lt h m ana g e m ent p r o duc t s and s er v i c es f or a f fl u ent i nd i v i d u a l s, bu s i n e s s e s, a nd i n s t i t u t i on s . T he s e s e r v i c e s i n c l ude b r o k e r a g e and i n ve s t m ent ad v i s o r y , fi n an c i al a n d w ea l t h p l an n i n g , c r e d i t and l en d i n g , cash m ana g e m en t , annu i t i es a nd i nsu r an c e, r e t ir e m ent a nd t r u s t.

Position Summary

Global Investment Manager Analysis (GIMA), a unit within Wealth Management Investment Solutions (IS), provides comprehensive manager research on a wide range of investment strategies, including separately managed accounts, mutual funds, UCITs, exchange-traded funds and private vehicles in the equity, fixed income and alternative investments spaces. The GIMA team engages with a broad array of investment managers to identify high quality strategies for portfolios.

The GIMA Operational Due Diligence Analyst will perform operational due diligence on alternative investment funds and managers (fund-of-funds, hedge funds, private equity, real estate, alternative mutual funds, UCITS, etc.) for new perspective managers and as part of the ongoing monitoring process for existing relationships. Additionally, the GIMA Operational Due Diligence Analyst will perform operational due diligence on co-investments and direct investments as opportunities arise.

Core functions:

• Operational assessments will consist of either onsite meetings with senior professionals at the investment manager or a desk review of a review of DDQs/various manager documents. Additionally, meetings/calls with key service providers such as administrators, valuation agents, auditors, etc. are conducted as necessary.
• Areas of focus for the review process include: Organizational Structure & Staffing, Fund Structure, Internal Operations & Controls, Valuation, Service Providers & External Oversight, Legal & Compliance, Information Technology & BCP, etc.
• Assess operational infrastructure and identify key risks, documenting findings in a written report.
• Work with managers to find solutions to correct any operational deficiencies identified during the operational due diligence process.
• Present findings and results to internal product approval committees, as necessary.

Ongoing activities include:

• Interact with internal teams as appropriate, including Investment Due Diligence, Product Management, Legal, Operations, Risk, Investor Relations, and Sales as needed.
• Support a team atmosphere including idea sharing, learning, and back-up.
• Remain abreast of industry trends, regulatory matters, and market events affecting funds, managers, clients, and the industry.
• Perform project work or other responsibilities as directed by the Head of Operational Due Diligence, including financial statements review, media monitoring, and oversight of vendor relationships.

Skills required:

• 5+ years of total work experience including 5+ years of direct operational due diligence experience across various types of alternative investment products and managers (alternative mutual funds, fund-of-funds, hedge funds, real estate funds, and/or private equity).
• Looking for candidate that has a solid knowledge of operational due diligence and the desire to expand their skill set into other product areas within a growing team of experienced operational due diligence professionals.
• Some experience performing due diligence on co-investments and direct investment opportunities strongly desired, but not required.
• Undergraduate degree required with an advanced degree preferred.
• CFA, CPA, and/or CAIA not required but viewed favorably.
• FINRA Series 7 and 66 (or Series 63/65) licenses required or the willingness to obtain within 90 days of hire

Expected base pay rates for the role will be between $110,000 and $185,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. 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.

We're committed to bringing passion and customer focus to the business.

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).