ISG Trade Surveillance, Associate, Oversight, Monitoring and Testing

Division: Legal & Compliance (LCD) Super - Department: Compliance Department: Surveillance Sub-Department: ISG Trade Surveillance Region: Global Job Level: Associate Job Title: Associate Employment Type: Full Time Location: Mumbai Firm 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. Division LCD comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations. The Legal Department provides guidance, requirements and procedures for understanding and complying with the laws, regulations and Firm policies that apply to our businesses. The Global Compliance Department identifies applicable Compliance Obligations and maintains a Firmwide Compliance Risk management program, including Compliance Risks that transcend business lines, legal entities and jurisdictions of operation. Global Financial Crimes is responsible for the development and governance of the Firm's financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti-Money Laundering (AML), Sanctions, Anti-boycott, Anti-Corruption (ACG) and Government and Political Activities Compliance (GPAC) programs. The Global Regulatory Relations Group (GRRG) is responsible for strategic and centralized management of the supervisory activities of Morgan Stanley's regulators and related developments globally, with a focus on regulatory reviews and examinations and continuous monitoring activities. GRRG serves as the central point of contact for the regulatory staff responsible for supervisory activities at Morgan Stanley entities and for timely reporting to Firm management and other governance or management bodies, as appropriate, on those relationships and supervisory processes, including areas of significant regulatory focus or concern. India LCD GC - Mumbai (India LCD GC) is a part of Morgan Stanley's Global In-house Center, which provides global support to LCD and is an integral part of Firm and LCD strategy.

Surveillance The Surveillance team performs an independent monitoring/oversight of Compliance reports that look for breaches to internal policies and/or regulatory requirements by Firm Traders/ Institutional Clients. The team works closely with global colleagues and stakeholders across the Firm (including staff in Legal and Compliance, Business Control Unit, Risk Management, Operations and Technology) to promote the ongoing development and effectiveness of the surveillance program. Examples of reviews performed are: Insider Trading Ramping Front Running etc.

(Day Job) The Surveillance Analyst will have several areas of responsibility including, but not limited to, following: Review and analyze trade surveillance reports across asset classes like equities, derivatives, fixed income and commodities to escalate any regulatory and policy breach identified as part of the review. Liaising with Compliance colleagues, Operations and front office staff to investigate surveillance alerts as necessary. Resolving escalated alerts appropriately and promptly, documenting results clearly and escalating possible exceptions as appropriate. Assist in identifying any coverage gaps, quality issues to help improve program effectiveness. Support tuning and optimization efforts to help create