Global Trade Surveillance Product Lead - Equities And Listed Derivatives

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 including corporations, governments and individuals from more than 1,200 offices in 43 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 rooted in integrity, excellence and strong team ethics. 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.

Department Profile

Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.

Background on the Team

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

Team Profile

The Surveillance team is responsible for operating and contributing to the design and implementation of a range of automated trade surveillance controls to detect and report market abuse and other misconduct risks across the Firm's institutional securities (ISG) business.

The team works closely with global colleagues and stakeholders across the Firm (including staff in Legal and Compliance, Business Unit Risk Management, Operations and Technology) to promote the ongoing development and effectiveness of the program.

Qualifications -

Primary Responsibilities:

Reporting to the ISG Trade Surveillance Product Lead, this individual will be overall responsible for the design of surveillance and oversight for Listed Products within ISG Sales and Trading. Candidate must be able to understand complex trading and market situations and apply judgment to identify and resolve issues in a timely manner.

• Identify gaps in surveillance coverage models and reports
• Work collaboratively across regional surveillance teams and other stakeholders to promote a globally consistent and cohesive market abuse trade surveillance control framework
• Assist in the design and maintenance of written supervisory procedures as prescribed in FINRA
• Rules 3110 and 3120 and applicable Exchange rules
• Review sales and trading activity for possible misconduct and/or regulatory violations
• Assist technology with the design and implementation of new reviews
• Assist in regulatory reviews, audits and other examinations
• Work with the Business to remediate findings
• Design and enhance applicable surveillance reviews

Skills required:

• Minimum 10 years of compliance experience in the financial services industry or an SRO.
• Strong data analysis, technology and project management skills
• Knowledge of broker-dealer regulatory compliance including FINRA, SEC, CFTC, and Exchange specific regulation

Expected base pay rates for the role will be between 160000 and 250000 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).