Risk Surveillance, Analyst / Associate Risk Surveillance, Analyst / Associate …

Morgan Stanley
in Shenzhen, Guangdong Sheng, China
Permanent, Full time
Be the first to apply
Morgan Stanley
in Shenzhen, Guangdong Sheng, China
Permanent, Full time
Be the first to apply
Risk Surveillance, Analyst / Associate


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 from more than 747 offices in 42 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 based on integrity, excellence and giving back. 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.

Morgan Stanley Investment Management (MSIM) is the investment management division of Morgan Stanley. MSIM strives to provide outstanding long-term investment performance, service and a comprehensive suite of investment management solutions to our diverse client base, which includes governments, institutions, corporations, and individuals worldwide.

Morgan Stanley Huaxin Fund Management Co., Ltd. (MSHF) is a Sino-foreign joint venture fund management company in which Morgan Stanley is the largest shareholder. Headquartered in Shenzhen, with branches in Beijing and Shanghai, MSHF provides an array of professionally managed funds for China investors, including fixed income, actively managed equities, fund of funds and separately-managed accounts, with a goal to meet investors’ needs for asset allocation, risk management and investment returns.

JOB SCOPE (incl. reporting line):

The role is responsible for the set-up, monitoring and active management of investment guidelines (investment risk limits and thresholds, regulatory limits, contractual investment constraints and investment mandate authorization) in the investment/trading/risk management system. The role also performs first line portfolio/trade surveillance roles for stock & bond pool review, pre-deal clearance, fair trading and best execution.

  • Coding investment guidelines within the investment/risk management systems
  • Investment Guideline Surveillance including pre-trade and post trade review
  • Execution & Implementation of Regulatory Changes in the systems
  • Client/Fund take-on process and client requests associated with guidelines
  • Client Due Diligence Meetings (Investment Guideline related – for eg. The pre-trade process, Hundsun )
  • New Product and New Instrument Approval relating to investment surveillance
  • IPO/ Deals pre-clearance including 1 st line roles for related party transactions
  • Stock and Bond Pool review
  • Best execution especially for fixed income trades
  • Fair trading (compare portfolio performance across the same PM/strategies)

  • Master degree in finance, economics or accounting. MBA, CFA, CPA, CISA, or FRM is considered a plus but not required
  • 2-3 years of financial services experience in portfolio surveillance, risk management or investment compliance from a buy-side firm
  • Prior experience with risk management tools in Hundsun system is highly preferred
  • Proficient with MS office including Excel, Powerpoint and Word
  • Experience with mutual fund business in China is preferred
  • Experience with financial data processing is preferred
  • Excellent English language skills, both verbal and written
  • Strong team player who can simultaneously work independently
  • Attention to detail and strong verbal and written communication skills
  • Good technical skills including Excel, Powerpoint, and other end user computing tools. General knowledge with IT is a plus
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