ISG Trade Surveillance Vice President

The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities and jurisdictions of operation.

The Americas Surveillance team operates and enhances automated trade surveillance controls designed to detect, investigate and escalate potential market abuse and other misconduct risks across the Firm's institutional securities business.

This role partners closely with global surveillance colleagues and stakeholders across Compliance, Legal, Business Unit Risk, Operations and Technology to support the ongoing development and execution of the surveillance program across products, markets and jurisdictions.

The VP owns surveillance risk across assigned areas, responds to escalations from Level 1 analysts, and supports surveillance coverage across a variety of asset classes. The role requires sound judgment, critical thinking, organizational discipline, and the confidence to challenge front-line reviewers and business stakeholders, as appropriate.

What you'll do in the role:

• Own surveillance risk across assigned products, markets and scenarios, exercising sound judgment in the review and escalation of potential market abuse concerns
• Act as a senior escalation point for Level 1 analysts, providing guidance, challenge and oversight to support consistent and high-quality alert disposition
• Partner closely with Compliance, Legal, Operations, Technology, and Global Financial Crimes stakeholders to assess conduct risk and strengthen controls, spanning across multiple asset classes
• Leverage surveillance technology platforms, including NASDAQ SMARTS and TradingHub, to support the effective operation of the program and identify opportunities for enhancement
• Assess trading activity and escalation matters to identify potential market abuse concerns, emerging themes and matters requiring further review
• Support surveillance coverage across U.S., Canadian and Latin American markets, with attention to regional products, market structures and conduct considerations
• Manage multiple workstreams effectively, maintaining organized execution and clear prioritization in a fast-paced and evolving environment
• Assist and contribute to issue management, thematic reviews, metrics and ad hoc analysis related to surveillance program performance and emerging risks
• Lead / support regulatory inquiries, internal reviews, and audit engagements related to market abuse surveillance
• Deliver ad hoc trainings, deep-dive analyses, and presentations to enhance awareness of market abuse risks, communicate emerging themes, and support stakeholder decision-making
• Promote a strong risk management culture by challenging business practices where appropriate and reinforcing adherence to regulatory expectations

What you'll bring to the role:

• 7+ years of relevant experience in trade surveillance, market abuse surveillance, compliance monitoring or a related control function
• Solid understanding of market structure and trading across one or more asset classes, with the ability to build credibility across equities, futures, fixed income, commodities and FX
• Hands-on experience with surveillance technology platforms such as NASDAQ SMARTS and TradingHub, including scenario design, tuning, and performance assessment
• Demonstrates critical thinking, analytical capability and intellectual curiosity to identify trends and synthesize data into actionable insights and thematic conclusions
• Ability to work independently, exercise sound judgment and manage competing priorities effectively
• Highly organized, with the ability to manage multiple workstreams, maintain strong attention to detail and prioritize effectively
• Knowledge of market conduct risk and relevant regulatory expectations, including awareness of differences across U.S., Canadian and Latin American markets
• Effective written and verbal communication skills, including the ability to engage with Level 1 analysts, senior stakeholders and business partners across regions
• Dynamic ability to build relationships and influence outcomes across a broad stakeholder group
• Comfort working with technology, data and surveillance workflows, with attention to detail and disciplined execution
• Confidence to challenge both analyst and business perspectives where needed
• Familiarity with emerging risks, including digital assets and electronic trading behaviors, is a plus
• Bachelor's degree required

 

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.

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