What are the responsibilities and job description for the HYBRID: Compliance Officer ? Trade Surveillance Technical Officer position at Morgan Stanley?
Company Profile
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.
Primary Responsibilities:
- Help to drive innovation and continuous improvement within the global Compliance monitoring program through management of strategic projects as well as the development and implementation of global frameworks and best practices
- Interrogate key performance metrics and proactively identify opportunities to optimize the controls and data that support the trade surveillance technical ecosystem and lead efforts to facilitate continuous improvement
- Support the central tuning and optimization teams by leading regional scenario tuning exercises, validating scenario output and facilitating global coordination to promote consistency across the program, working in partnership with central governance and change management teams
- Keep abreast of industry standards and regulatory trends in surveillance, leveraging market and regulatory experience to drive new surveillance requirements and identify areas where controls can be improved
- Act as the primary regional contact point and subject matter expert for surveillance product owners and internal Technology teams
- Ensure trade surveillance data is accurate, complete and timely for the effective operation of trade surveillance systems
- Perform recurring and ad-hoc metrics reporting and analysis using Word / Excel / PowerPoint / Tableau
- Perform issue and risk management analysis
Skills required:
- An experienced Compliance trade surveillance professional who has excellent technical knowledge and understanding of the mechanics of trade surveillance.
- 3-5 years professional experience in a trade surveillance or Compliance surveillance technology role
- Experience in monitoring the effectiveness of trade surveillance systems and processes
- Experience with calibration of trade surveillance applications
- Experience in managing the surveillance change process, such as ensuring business and functional requirements are met, according to the governance frameworks
- Strong quantitative and qualitative analytical skills and a creative and flexible approach to problem solving
- Subject matter expertise in local markets
- Knowledge of relevant local regulatory and market conduct rules and regulations
- Strong written and verbal communication skills
- Excellent time management skills and ability to execute tasks within tight deadlines
- Keen attention to detail
- A strong sense of ownership and accountability for work product
- Be fluent with all MS Office tools, particularly Excel and PowerPoint
Expected base pay rates for the role will be between 110000 and 190000 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).
Job: *Compliance
Title: HYBRID: Compliance Officer ? Trade Surveillance Technical Officer
Location: New York-New York
Requisition ID: 3229441
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.
Primary Responsibilities:
- Help to drive innovation and continuous improvement within the global Compliance monitoring program through management of strategic projects as well as the development and implementation of global frameworks and best practices
- Interrogate key performance metrics and proactively identify opportunities to optimize the controls and data that support the trade surveillance technical ecosystem and lead efforts to facilitate continuous improvement
- Support the central tuning and optimization teams by leading regional scenario tuning exercises, validating scenario output and facilitating global coordination to promote consistency across the program, working in partnership with central governance and change management teams
- Keep abreast of industry standards and regulatory trends in surveillance, leveraging market and regulatory experience to drive new surveillance requirements and identify areas where controls can be improved
- Act as the primary regional contact point and subject matter expert for surveillance product owners and internal Technology teams
- Ensure trade surveillance data is accurate, complete and timely for the effective operation of trade surveillance systems
- Perform recurring and ad-hoc metrics reporting and analysis using Word / Excel / PowerPoint / Tableau
- Perform issue and risk management analysis
Skills required:
- An experienced Compliance trade surveillance professional who has excellent technical knowledge and understanding of the mechanics of trade surveillance.
- 3-5 years professional experience in a trade surveillance or Compliance surveillance technology role
- Experience in monitoring the effectiveness of trade surveillance systems and processes
- Experience with calibration of trade surveillance applications
- Experience in managing the surveillance change process, such as ensuring business and functional requirements are met, according to the governance frameworks
- Strong quantitative and qualitative analytical skills and a creative and flexible approach to problem solving
- Subject matter expertise in local markets
- Knowledge of relevant local regulatory and market conduct rules and regulations
- Strong written and verbal communication skills
- Excellent time management skills and ability to execute tasks within tight deadlines
- Keen attention to detail
- A strong sense of ownership and accountability for work product
- Be fluent with all MS Office tools, particularly Excel and PowerPoint
Expected base pay rates for the role will be between 110000 and 190000 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).
Job: *Compliance
Title: HYBRID: Compliance Officer ? Trade Surveillance Technical Officer
Location: New York-New York
Requisition ID: 3229441
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