ISG Trade Surveillance Vice President

Morgan Stanley•Dallas, TX

12d•$110,000 - $162,500•Onsite

About The Position

The Global Compliance Department manages a Firmwide Compliance Risk Management program, including risks that transcend business lines, legal entities, and jurisdictions. The Americas Surveillance team operates and enhances automated trade surveillance controls to detect, investigate, and escalate potential market abuse and other misconduct risks across the Firm’s institutional securities business. The Vice President partners with global surveillance colleagues and stakeholders across Compliance, Legal, Business Unit Risk, Operations, and Technology to develop and execute the surveillance program across products, markets, and jurisdictions. The role owns surveillance risk across assigned areas, responds to Level 1 analyst escalations, and supports coverage across multiple asset classes. It calls for sound judgment, critical thinking, organizational discipline, and the confidence to challenge reviewers and business stakeholders when appropriate. The position supports surveillance coverage across U.S., Canadian, and Latin American markets; contributes to issue management, thematic reviews, metrics, and analysis; and leads or supports regulatory inquiries, internal reviews, and audits related to market abuse surveillance. The work location is described as temporary and will transition to 1445 Ross Ave, Dallas, TX 75202 at a future date. In-person interviews are required.

Requirements

At least 7 years of relevant experience in trade surveillance, market abuse surveillance, compliance monitoring, or a related control function.
Solid understanding of market structure and trading across one or more asset classes, with the ability to build credibility across equities, futures, fixed income, commodities, and FX.
Hands-on experience with surveillance technology platforms such as NASDAQ SMARTS and TradingHub, including scenario design, tuning, and performance assessment.
Critical-thinking and analytical skills, and intellectual curiosity to identify trends and synthesize data into actionable insights and thematic conclusions.
Ability to work independently, exercise sound judgment, and manage competing priorities effectively.
Strong organization, attention to detail, and ability to manage and prioritize multiple workstreams.
Knowledge of market conduct risk and relevant regulatory expectations, including differences across U.S., Canadian, and Latin American markets.
Effective written and verbal communication skills, including engaging Level 1 analysts, senior stakeholders, and business partners across regions.
Ability to build relationships and influence outcomes across a broad stakeholder group.
Comfort working with technology, data, and surveillance workflows, with attention to detail and disciplined execution.
Confidence to challenge analyst and business perspectives when needed.
Bachelor’s degree required.

Nice To Haves

Familiarity with emerging risks, including digital assets and electronic trading behaviors.

Responsibilities

Own surveillance risk across assigned products, markets, and scenarios, exercising sound judgment when reviewing and escalating potential market abuse concerns.
Serve as a senior escalation point for Level 1 analysts, providing guidance, challenge, and oversight for consistent, high-quality alert disposition.
Partner with Compliance, Legal, Operations, Technology, and Global Financial Crimes stakeholders to assess conduct risk and strengthen controls across multiple asset classes.
Use surveillance technology platforms, including NASDAQ SMARTS and TradingHub, to support program operations and identify opportunities for enhancement.
Assess trading activity and escalations to identify potential market abuse concerns, emerging themes, and matters requiring further review.
Support surveillance coverage across U.S., Canadian, and Latin American markets, considering regional products, market structures, and conduct considerations.
Manage multiple workstreams, maintain organized execution, and prioritize clearly in a fast-paced, evolving environment.
Assist with and contribute to issue management, thematic reviews, metrics, and ad hoc analysis related to program performance and emerging risks.
Lead or support regulatory inquiries, internal reviews, and audit engagements related to market abuse surveillance.
Deliver ad hoc training, deep-dive analyses, and presentations to increase awareness of market abuse risks, communicate emerging themes, and support stakeholder decision-making.
Promote a strong risk management culture by challenging business practices where appropriate and reinforcing adherence to regulatory expectations.