MUMBAI · FULLTIME
Trade Surveillance, Vice President, Oversight, Monitoring and Testing
Morgan Stanley
Mumbai · onsite · Posted 13d ago
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Undisclosed8–13 yrsfulltimeMumbai
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Section · 01
About this role
Job Summary
What you'll do in the role:
What you'll bring to the role:
Skills
Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.
We're seeking someone to join our team as a Vice President in the Legal and Compliance division.
In the Legal Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firms management of legal, regulatory and franchise risk. This is an Vice President level position within the Oversight, Monitoring and Testing.
Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.
What you'll do in the role:
- The successful candidate will be responsible for a range of surveillance and compliance activities, including but not limited to:
- Conducting daily surveillance across equities, derivatives, fixed income, and commodities trading to ensure compliance with regulatory and exchange requirements.
- Collaborating with Compliance, Operations, and front office teams to investigate and resolve surveillance alerts.
- Reviewing and escalating alerts appropriately, documenting outcomes clearly and escalating potential issues without delay. Assessing and enhancing the effectiveness of surveillance reports and related monitoring tools.
- Performing ad hoc trading reviews to support Legal and Compliance teams, including detailed incident assessments, and preparing and submitting STORs to the FCA or other competent authorities when required.
- Designing, enhancing, and calibrating surveillance controls, as well as supporting the implementation of new controls.
- Contributing to surveillance related projects and initiatives, ensuring timely and effective delivery.
- Maintaining strong working relationships across regions and levels, collaborating with colleagues in EMEA and global surveillance teams to support the surveillance program.
- Partnering with key stakeholders - Sales Trading Coverage, Business Control Unit, Technology, external vendors to design and implement enhancements to the surveillance framework.
- Preparing and improving Management Information (MI) reporting to support governance and oversight.
- Providing subject matter expertise to Regulatory Enquiries and business-line Compliance teams on surveillance matters, including trading behaviour, exchange mechanics, market dynamics, and indicators of suspicious activity
What you'll bring to the role:
- Exceptional communication skills, with the ability to explain complex scenarios clearly and concisely-both verbally and in writing-to stakeholders at all levels.
- Typically, 8+ years relevant experience would generally be expected to find the skills required for this role.
- Strong analytical capability, including experience handling, analysing, and presenting large datasets to identify anomalies or patterns of concern.
- Demonstrated ability to assess control logic and thresholds, evaluating effectiveness and identifying opportunities for enhancement.
- Highly organised and execution focused, able to manage competing priorities and deliver high quality work within deadlines.
- Confident decision maker, comfortable using sound judgment and initiative in an in house environment.
- Skilled at building strong working relationships, fostering open two way communication and trust with colleagues across global offices, and supporting a culture of development and constructive feedback.
- Adaptable team player, willing to support colleagues and contribute to the overall success of the EMEA surveillance programme.
- Hands on experience with third party surveillance systems, such as Nasdaq Trade Surveillance, Trading Hub, or Actimize, as well as market data platforms including Bloomberg and LSEG Workspace.
- Proficiency in data analysis tools, including the ability to use Tableau/SQL to interrogate and analyse large datasets.
- Post graduate qualification (e.g., MSc or MBA in Finance) preferred.
Skills
- Nasdaq Trade Surveillance
- Actimize
- Trading Hub
- Bloomberg
- LSEG Workspace
- Tableau
- SQL
- Incident assessments / STORs to FCA
- Stakeholder management
Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.
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Section · 02
Skills
ActimizeFixed Incomemarket dataBusiness ControlEquitiesMonitoring ToolsSQLBloombergLegal ComplianceCommunication SkillsoperationsSalesFinancial ServicesLegaldata analysiscomplianceEmployee Benefitsfinance
Section · Company
About Morgan Stanley
Morgan Stanley
Financial Services
16.0k+
employees
1931
95 years old
New York, New York
United States (USA)
About
Morgan Stanley helps individuals, families, institutions, and governments raise, manage and distribute the capital they need to achieve their goals.
Industries
Financial Services
Employee ratings
2,050 reviews
3.6/ 5
Culture
3.6
Career growth
2.8
Work-life
3.6
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