414 jobs for "Compliance & Operational Risk Manager"

We are seeking a proactive Equity Investment Team Support professional to join the Public Markets Middle Office and provide high-touch operational partnership to Equity Portfolio Managers and Trading teams. This role serves as a day-to-day point of contact for front office stakeholders, helping to ensure smooth front-to-back execution, strong controls, and timely issue resolution across cash, positions, and the equity trade lifecycle.

You will partner closely with Middle Office Operations, Trading, Technology, Risk, Compliance, Brokers, and Custodians to proactively monitor portfolio data quality and resolve operational issues that could impact trade execution, settlement, valuation/pricing, performance, risk, and client reporting for equity portfolios (e.g., corporate actions, IPOs/new issues, position/cash breaks, fails, and stock loan/short coverage workflows where applicable).

This role requires strong collaboration across Middle Office teams to deliver a seamless support model and to act as a key escalation point for Equity stakeholders on portfolio support, trade lifecycle, and data/control matters.

Key Responsibilities:
Investment Strategy Support:
> Provide dedicated day-to-day operational support to equity investment strategies (e.g., long-only, long/short, factor/quant, sector, global/international, small/large cap) across relevant vehicles and accounts.
> Serve as a primary point of contact providing proactive oversight of portfolio-level data quality, controls, and operational readiness for Equity PMs and Trading teams.
> Anticipate equity team needs and proactively resolve front-to-back workflow issues (trade capture, allocations, confirmations, settlement, corporate actions processing, IPO/new issue readiness), ensuring minimal disruption to portfolio rebalances and investment decision-making.
> Monitor start-of-day portfolio readiness (cash/positions, breaks, pricing/valuation flags, settlement fails, upcoming corporate actions) and consult the Equity teams on portfolio cash, positions, and exceptions as needed (including stock loan/short-related exceptions where applicable).
Issue Resolution and Incident Management:
> Drive resolution of equity trade lifecycle and operational issues (allocations, confirmations, settlement fails, broker/SSI issues, corporate actions elections, dividends, IPO allocations, restricted lists and compliance trade blocks), partnering with Middle Office, Custodians, Brokers, Technology, and Compliance.
> Coordinate the incident management process for equity operational incidents (e.g., significant breaks, fail spikes, corporate action exceptions), ensuring timely triage, root cause analysis, remediation, and clear communication to front office and operations leadership.
> Produce post-incident summaries and trend analysis to prevent recurrence, strengthen controls, and improve equity servicing outcomes.
Optimization:
> Identify opportunities to streamline equity operational processes, reduce manual touchpoints (e.g., corporate actions processing, exception management), and enhance controls using data and technology.
> Maintain accurate support metrics (e.g., cash/position breaks, settlement fails, corporate action exceptions, incident volumes, turnaround times) and deliver actionable insights to Middle Office leadership and Equity stakeholders.
Leadership:
> Demonstrate ownership of the equity support coverage model for your assigned strategies, driving consistent execution and a strong control environment.
> Document procedures, contribute to playbooks, and help onboard/train teammates and partners to ensure consistent equity processes and effective knowledge transfer.
> Partner on change initiatives (new funds/accounts, new markets, vendor/platform enhancements) and prioritize work based on market activity, business priorities, and risk, escalating where appropriate.
Stakeholder Management:
> Build strong relationships with Equity Portfolio Managers, Traders, Trade Su Experience and Qualifications:
> 6-10+ years of experience in investment operations, trade support, front-office support, or middle office roles at a global asset manager, bank, or financial institution, with meaningful equities exposure.
> Proven experience supporting front-to-back equity workflows, partnering closely with PMs/Traders and downstream operations teams.
> Strong knowledge of equity instruments and lifecycle events (e.g., common/preferred stock, ADRs, rights/warrants; dividends, splits, mergers/tenders, proxies/voluntary elections) and experience supporting pooled funds, institutional mandates, and SMAs (including long/short workflows and stock loan concepts where applicable).
> Hands-on experience with trade management, allocations/confirmations, settlement, fails management, and corporate actions exception handling; familiarity with relevant regulatory and client reporting expectations.
> Strong ability to lead through influence-coordinating across functions and driving outcomes without direct authority.
> Proficiency in Aladdin and/or comparable OMS/IBOR/ABOR platforms, plus market and data tools (e.g., Bloomberg, FactSet) and equity-related trade processing/analytics utilities.
> Strong understanding of global market standards, broker/custodian practices, and control frameworks.
> Data-driven approach to identifying trends, managing performance, and enhancing operational resilience.Key Competencies:
> Client-First Mindset: Passionate about delivering an exceptional experience for Equity Portfolio Managers and Trading teams in support of client outcomes
> Operational Leadership: Able to anticipate risk, lead issue resolution, and communicate clearly under pressure.
> Strategic Agility: Understands the broader investment and regulatory landscape and adapts support models accordingly.
> Data & Control Orientation: Skilled at using data for trend analysis, forecasting, and performance monitoring.
> Collaboration & Influence: Builds trust across stakeholders and drives alignment through strong interpersonal skills.

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.

Expected base pay rates for the role will be between $105,000 and $156,000 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 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 .

About Morgan Stanley

Morgan Stanley mobilizes capital to help governments, corporations, institutions and individuals around the world achieve their financial goals.

Size: 10,000+ employees
Industry: Financial Services

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