ISG Trade Surveillance Vice President

Morgan-Stanley; Dallas (TX); On-site; USD 95,000 - 170,000; Full time

Job summary

Morgan Stanley is seeking an experienced surveillance professional to own market abuse surveillance across assigned products and regions. You will escalate and guide Level 1 analysts and partner with Compliance, Legal, Operations and Technology to strengthen controls and respond to regulatory inquiries.

You will work with NASDAQ SMARTS and TradingHub to design scenarios, assess trading activity, and deliver insight through analytics and presentations.

Qualifications

• 7+ years in trade or market abuse surveillance or related control function.
• Solid understanding of market structure across multiple asset classes.
• Ability to interpret data and communicate risks clearly.

Responsibilities

• Own surveillance risk across products and markets and escalate concerns.
• Act as senior escalation point for Level 1 analysts with guidance.
• Collaborate with Compliance, Legal, Ops, Tech to strengthen controls.
• Design and tune NASDAQ SMARTS/TradingHub scenarios and assess activity.
• Lead or support regulatory inquiries, audits, and thematic reviews.

Skills

Trade surveillance

Market abuse surveillance

Compliance monitoring

Regulatory expectations

Stakeholder engagement

Tools

NASDAQ SMARTS

TradingHub

Job description

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 concernsAct as a senior escalation point for Level 1 analysts, providing guidance, challenge and oversight to support consistent and high-quality alert dispositionPartner closely with Compliance, Legal, Operations, Technology, and Global Financial Crimes stakeholders to assess conduct risk and strengthen controls, spanning across multiple asset classesLeverage surveillance technology platforms, including NASDAQ SMARTS and TradingHub, to support the effective operation of the program and identify opportunities for enhancementAssess trading activity and escalation matters to identify potential market abuse concerns, emerging themes and matters requiring further reviewSupport surveillance coverage across U.S., Canadian and Latin American markets, with attention to regional products, market structures and conduct considerationsManage multiple workstreams effectively, maintaining organized execution and clear prioritization in a fast-paced and evolving environmentAssist and contribute to issue management, thematic reviews, metrics and ad hoc analysis related to surveillance program performance and emerging risksLead / support regulatory inquiries, internal reviews, and audit engagements related to market abuse surveillanceDeliver ad hoc trainings, deep-dive analyses, and presentations to enhance awareness of market abuse risks, communicate emerging themes, and support stakeholder decision-makingPromote a strong risk management culture by challenging business practices where appropriate and reinforcing adherence to regulatory expectationsWhat you'll bring to the role:7+ years of relevant experience in trade surveillance, market abuse surveillance, compliance monitoring or a related control functionSolid 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 FXHands-on experience with surveillance technology platforms such as NASDAQ SMARTS and TradingHub, including scenario design, tuning, and performance assessmentDemonstrates critical thinking, analytical capability and intellectual curiosity to identify trends and synthesize data into actionable insights and thematic conclusionsAbility to work independently, exercise sound judgment and manage competing priorities effectivelyHighly organized, with the ability to manage multiple workstreams, maintain strong attention to detail and prioritize effectivelyKnowledge of market conduct risk and relevant regulatory expectations, including awareness of differences across U.S., Canadian and Latin American marketsEffective written and verbal communication skills, including the ability to engage with Level 1 analysts, senior stakeholders and business partners across regionsDynamic ability to build relationships and influence outcomes across a broad stakeholder groupComfort working with technology, data and surveillance workflows, with attention to detail and disciplined executionConfidence to challenge both analyst and business perspectives where neededFamiliarity with emerging risks, including digital assets and electronic trading behaviors, is a plusBachelor's degree requiredWHAT 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 95000 and 170000 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 .