【モルガン・スタンレー】Head of Trade Surveillance Compliance
仕事内容
About The Role
Primary Responsibilities
> Mentoring and developing junior Trade Surveillance Compliance team members through day-to-day oversight, hands on leadership, and proactive team building exercises.
> 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.
> Driving execution of daily surveillance of equities, derivatives and fixed income trading to monitor for compliance with regulatory and exchange requirements.
> Managing exception and other surveillance reports to monitor for compliance with Firm policies, procedures and relevant rules, laws and regulations.
> Liaising with Compliance colleagues, front office staff and other stakeholders to investigate surveillance alerts as necessary.
> Resolving escalated alerts appropriately and promptly, documenting results clearly and escalating possible exceptions as appropriate.
> Ensuring efficiency and effectiveness of reports based on daily output of offshore Morgan Stanley teams.
> Maintaining effective and constructive working relationships with staff located in other regions across a range of levels.
> Working with key stakeholders (e.g., Compliance Coverage, Business Unit Risk Management, Technology, third party vendors) to identify, design and implement enhancements to the surveillance program.
> Leading local surveillance-related projects or initiatives
> Facilitating design and deployment of new controls, in addition to the enhancement and calibration of existing controls.
> Conducting ad hoc trading reviews to support Legal and Compliance colleagues, and detailed incident reviews on behalf of the Firm, as necessary.
> Building relationships with internal clients and collaborating with colleagues in global surveillance teams to deliver the annual 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.
応募資格(必須経験など)
Qualifications, Skills & Requirements
Skills required (essential)
> 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.
> Comprehensive understanding of regulatory requirements and regulatory environment in Japan.
> Detailed 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
> Use of Tableau/SQL to query large data sets
> Experience with Japanese Fixed Income market