Trade Surveillance Compliance Technical Officer
Primary Responsibilities
- Leveraging relevant experience and in-depth knowledge (of e.g., various market manipulation scenarios, financial products, trading strategies, market participants, regulatory framework and ongoing developments) to enhance and further develop best in class trade surveillance program.
- Engaging with regulators through regular oral and written communication on trade surveillance and market manipulation matters, handling regulatory inquiries regarding trading activity, and in response to onsite inspections.
- Leading local surveillance-related projects or initiatives.
- Conducting ad hoc trading reviews to support Legal and Compliance colleagues, and detailed incident reviews on behalf of the Firm, as necessary.
- Analyze large-scale trading and market data to identify patterns, anomalies, and potential misconduct.
- Develop, test, and refine surveillance logic, scenarios, and thresholds using data-driven approaches.
- Perform deep-dive analysis on trading activity to support alert investigations and model calibration.
- Work with structured and unstructured data across equities, derivatives, and fixed income.
- Partner with Technology to design, implement, and enhance surveillance systems and data pipelines.
- Write and run queries (e.g., SQL) and use analytical tools to extract and validate trading data.
- Automate recurring analysis, reporting, and control processes where possible.
- Support onboarding of new data sources and ensure data quality and integrity.
- Conduct daily review and investigation of surveillance alerts generated by the system.
- Perform root cause analysis on alerts, including data validation and scenario effectiveness review.
- Lead or support enhancements to surveillance scenarios, models, and controls.
- Liaise with Compliance, Front Office, Risk, and Technology teams to resolve issues and enhance controls.
- Driving execution of daily surveillance of equities, derivatives and fixed income trading to monitor for compliance with regulatory and exchange requirements.
Skills Required (Essential)
- Experience in analysis of trading and market data.
- Experience working on data quality monitoring, including identifying gaps and data integrity issues.
- Hands-on experience with alert tuning, including threshold calibration and scenario refinement.
- Working knowledge of SQL or similar query tools.
- Ability to translate surveillance requirements into data logic and rules.
- Self-motivated industry professional.
- Strong analytical skills to evaluate data and propose improvements to surveillance program.
- Fluency in Japanese and English demonstrated through excellent oral and written communication skills.
- Practical knowledge of Japanese financial industry, products and exchange/surveillance regulations.
- Attention to detail.
- 5+ years relevant experience in the financial industry.
- Outstanding relationship building skills; ability to develop and foster trust-based relationships within the team, and with various business lines supported.
- Confidence and capability to influence at all levels without direct authority.
- Ability to handle highly confidential and sensitive information.
- Proficiency with Microsoft Excel, PowerPoint, and SharePoint.
Skills Desired
- Current or prior exposure to Japanese banking compliance a distinct advantage.
- Understanding of regulatory requirements and regulatory environment in Japan.
- Knowledge of relevant: (i) rules and regulations; and (ii) products and market infrastructure.
- Experience using third party trade surveillance tools (e.g., Nasdaq Trade Surveillance, Actimize) and market data vendors (e.g., Bloomberg, Refinitiv Eikon).
- Experience of handling, analyzing and presenting large data sets to identify exceptions or anomalies.
WHAT 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.
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.
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