Trade Surveillance, Vice President, Oversight, Monitoring and Testing
Morgan Stanley · Mumbai, Maharashtra, India
- On site
- Full-time
- $150,000 / year
- Mumbai, Maharashtra, India
Job highlights
- Oversee trade surveillance across multiple asset classes.
- Investigate and resolve compliance alerts with cross-functional teams.
- Enhance surveillance controls and reporting tools.
- Analyze large datasets using SQL and Tableau.
- Provide regulatory expertise on trading behavior.
About the role
Job Title
Vice President, Trade Surveillance Oversight, Monitoring and Testing
About the Role
Morgan Stanley is seeking a Vice President to join the Legal and Compliance division, specifically within the Oversight, Monitoring and Testing team. This division is responsible for assisting the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory, and franchise risk. As an Vice President, you will play a crucial role in ensuring compliance with regulatory and exchange requirements across various trading activities.
What You'll Do
- Conduct daily surveillance across equities, derivatives, fixed income, and commodities trading to ensure compliance.
- Collaborate with Compliance, Operations, and front office teams to investigate and resolve surveillance alerts.
- Review and escalate alerts, documenting outcomes and reporting potential issues.
- Assess and enhance the effectiveness of surveillance reports and monitoring tools.
- Perform ad hoc trading reviews and support Legal and Compliance teams with incident assessments and regulatory submissions.
- Design, enhance, and calibrate surveillance controls, and support the implementation of new controls.
- Contribute to surveillance-related projects and initiatives, ensuring timely delivery.
- Maintain strong working relationships with regional and global surveillance teams.
- Partner with stakeholders such as Sales & Trading Coverage, Business Control Unit, Technology, and external vendors to improve the surveillance framework.
- Prepare and enhance Management Information (MI) reporting for governance and oversight.
- Provide subject matter expertise on surveillance matters to Regulatory Enquiries and business-line Compliance teams.
What You'll Bring
- Exceptional communication skills, with the ability to explain complex scenarios clearly to all levels of stakeholders.
- Typically, 8+ years of relevant experience.
- Strong analytical capability, with experience in handling, analyzing, and presenting large datasets.
- Ability to assess control logic and thresholds, evaluating effectiveness and identifying enhancement opportunities.
- Highly organized and execution-focused, with the ability to manage competing priorities and meet deadlines.
- Confident decision-maker, comfortable using sound judgment and initiative.
- Skilled at building strong working relationships and fostering open communication and trust.
- Adaptable team player, willing to support colleagues and contribute to the EMEA surveillance program.
- Hands-on experience with third-party surveillance systems (e.g., Nasdaq Trade Surveillance, Trading Hub, Actimize).
- Proficiency in data analysis tools, including Tableau/SQL for interrogating and analyzing large datasets.
- Post-graduate qualification (e.g., MSc or MBA in Finance) is preferred.
What You Can Expect From Morgan Stanley
Morgan Stanley is a global leader in financial services with a history dating back to 1935. We are committed to helping clients achieve their goals by raising, managing, and allocating capital. Our core values—putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back—guide our daily decisions. You will have the opportunity to work alongside talented individuals in a supportive and empowering environment. Our teams are collaborative, creative, and driven by diverse backgrounds and experiences. We offer attractive employee benefits and perks, along with ample opportunities for career growth within the business.
Key skills/competency
- Trade Surveillance
- Regulatory Compliance
- Oversight and Monitoring
- Financial Services
- Risk Management
- Data Analysis
- SQL
- Tableau
- Nasdaq Trade Surveillance
- FCA Regulations
Skills & topics
- Trade Surveillance
- Vice President
- Oversight
- Monitoring
- Testing
- Compliance
- Legal
- Financial Services
- Equities
- Derivatives
- Fixed Income
- Commodities
- Regulatory
- FCA
- Data Analysis
- SQL
- Tableau
- Nasdaq Trade Surveillance
- Actimize
- Bloomberg
- LSEG Workspace
- Risk Management
How to get hired
- Tailor your resume: Highlight your 8+ years of experience in trade surveillance, data analysis (SQL, Tableau), and familiarity with systems like Nasdaq Trade Surveillance or Actimize.
- Craft a compelling cover letter: Emphasize your communication skills, analytical capabilities, and understanding of regulatory requirements (FCA).
- Prepare for technical questions: Be ready to discuss your experience with surveillance systems, data interrogation, and enhancing control logic.
- Showcase collaboration skills: Demonstrate your ability to work with diverse teams, stakeholders, and global colleagues.
- Research Morgan Stanley's values: Align your application with their commitment to client focus, integrity, and diversity.
Technical preparation
Master SQL for data interrogation and analysis.,Become proficient with Tableau for data visualization.,Study common surveillance system functionalities.,Review regulatory requirements (e.g., FCA).
Behavioral questions
Describe a complex compliance scenario you handled.,How do you manage competing priorities effectively?,Give an example of building trust with stakeholders.,How do you adapt to new regulations or systems?
Frequently asked questions
- What specific asset classes does the Trade Surveillance Vice President role at Morgan Stanley cover?
- The Trade Surveillance Vice President role at Morgan Stanley covers a broad range of asset classes, including equities, derivatives, fixed income, and commodities trading.
- What are the primary responsibilities of the Vice President in Trade Surveillance at Morgan Stanley?
- The primary responsibilities include conducting daily surveillance, investigating alerts, enhancing surveillance controls, performing ad hoc trading reviews, and providing subject matter expertise on surveillance matters to regulatory bodies and compliance teams.
- What technical skills and systems experience are most important for this Trade Surveillance role at Morgan Stanley?
- Key technical skills include proficiency in data analysis tools like Tableau and SQL for interrogating large datasets. Hands-on experience with third-party surveillance systems such as Nasdaq Trade Surveillance, Trading Hub, or Actimize is also highly valued.
- What kind of communication skills are expected for the Vice President of Trade Surveillance at Morgan Stanley?
- Exceptional communication skills are expected, with the ability to explain complex surveillance scenarios clearly and concisely, both verbally and in writing, to stakeholders at all levels of the organization.
- Does Morgan Stanley prefer a postgraduate degree for the Vice President of Trade Surveillance position?
- While not strictly required, a postgraduate qualification such as an MSc or MBA in Finance is preferred for the Vice President of Trade Surveillance role at Morgan Stanley.
- How does Morgan Stanley foster collaboration within its Legal and Compliance division for this role?
- Morgan Stanley fosters collaboration by encouraging strong working relationships across regions and levels. The role involves partnering with Sales & Trading Coverage, Business Control Unit, Technology, and global surveillance teams to ensure effective program delivery.
- What is the expected level of experience for the Trade Surveillance Vice President at Morgan Stanley?
- Typically, 8+ years of relevant experience is generally expected to find the necessary skills for this Vice President level role in Trade Surveillance at Morgan Stanley.
- How does Morgan Stanley support career development for its employees in roles like Trade Surveillance?
- Morgan Stanley offers ample opportunity for employees to move about the business for those who show passion and grit. They also provide a supportive and empowering environment where employees can work alongside the best and brightest.