Apr 9, 2024
Americas-United States of America-Maryland-Baltimore Bachelor's Degree
Compliance Full Time Vice President
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 ethic. 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.
As a Compliance Professional in Institutional Securities Trade Surveillance, the candidate will support the group's Quality Management (QM) function. Specifically, the candidate will be responsible for overseeing the Data Quality, Completeness, and Governance. In this role, the candidate will work closely with global Compliance monitoring teams, Technology teams, and the Global Surveillance Product Leads/Product Owners to execute the strategic objectives of the program and BAU activities related to improving the effectiveness and efficiencies of the program.
Responsibilities
> Ensure trade surveillance data is accurate, complete, and timely for effective operation of trade surveillance systems
> Lead/Chair the Data Governance Working Group within Trade Surveillance
> Represent Trade Surveillance on Firm-wide, Legal & Compliance, and Technology data governance forums
> Collaborate across functional areas to respond to data-related Operational Risk Incidents and to promote data completeness and data integrity
> Contribute to the development of a robust inputs/outputs monitoring program to ensure that trade surveillance models conform to Model Risk Management's data governance standards
> Partner with internal and external stakeholders to ensure that the complete and accurate set of orders & trades flows from trading systems/venues to Trade Surveillance's data repository
> Help to drive innovation and continuous improvement within the global Compliance Monitoring program through identification of improvement opportunities, oversight of critical remediation efforts and promotion of best practices and process optimization
> Collaborate with other functional areas to determine Quality Management best practices and implement accordingly
> Support and provide input into related surveillance programs including the ongoing creation of global surveillance metrics, KRIs and KPIs
Experience
> Minimum of 5-10 years of relevant working experience preferably in conducting / supervising market abuse surveillance or related activities in the financial services industry
> Working knowledge of and interest in financial markets in the Institutional Sales and Trading businesses (i.e., Equities, Fixed Income, FX, and Commodities)
> Experience using trade surveillance tools such as SMARTS Broker, TradingHub, Actimize, etc. is preferred
> Experience using business intelligence tools such as Tableau, Power BI, etc. is preferred
Skills and Qualities
> Knowledge of global markets / market regulations
> Excellent verbal and written English communication skills - ability to correspond effectively with different teams and varying levels of seniority within the organization
> Strong analytical skills and attention to detail
> Interest in or appreciation for technology, data, and metrics reporting
> Ability to work with cross-functional, and cross-regional, teams spanning Compliance and Technology
> Excellent presentation and interpersonal skills, including the ability to communicate clearly and concisely
> Proficiency with Microsoft Office Suite (PowerPoint, Excel, Word, Teams)
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).
Expected base pay rates for the role will be between $112,000.00 and $177,000.00 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.
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