HomeLegal JobsCorporate Legal JobsJob Opportunity at Morgan Stanley: Vice President-Trade Surveillance

Job Opportunity at Morgan Stanley: Vice President-Trade Surveillance

About Job

┬áMorgan Stanley is seeking a qualified candidate for the position of Vice President – Trade Surveillance in Mumbai, Maharashtra. This role involves overseeing the daily surveillance of equities, derivatives, fixed income, and commodities trading to ensure compliance with regulatory and exchange requirements. The Vice President will collaborate with various stakeholders, investigate surveillance alerts, resolve escalated issues, and contribute to the enhancement of surveillance controls and processes. This page conatins details about Job Opportunity at Morgan Stanley: Vice President-Trade Surveillance.

About Organization

 Morgan Stanley is a renowned global financial services firm offering a wide range of investment banking, securities, investment management, and wealth management services. With a commitment to integrity and excellence, Morgan Stanley fosters a culture of learning, growth, and inclusivity. The Legal & Compliance Division (LCD) at Morgan Stanley plays a pivotal role in ensuring adherence to laws, regulations, and firm policies across its operations worldwide.


Candidates interested in the Vice President position should meet the following criteria:

  • Possess 10+ years of relevant working experience in the financial services industry, preferably in Compliance, internal audit, or with a securities exchange or regulator.
  • Demonstrated experience in Trade Surveillance and Regulatory Inquiries in APAC markets is preferred.
  • Hold a Post Graduate Degree/MBA in Finance or Financial Engineering/Technology.
  • Possess excellent knowledge of rules, regulations, and market abuse risks.
  • Proficient in using third-party trade surveillance tools and market data vendors.
  • Strong analytical, communication, and organizational skills.

Role and Responsibilities

The Vice President will have several key responsibilities, including:

  • Overseeing daily surveillance of trading activities across various financial products.
  • Investigating surveillance alerts and resolving escalated issues promptly.
  • Collaborating with Compliance, Operations, and front office staff on surveillance matters.
  • Assisting in the design, deployment, and enhancement of surveillance controls.
  • Providing expert advice to Regulatory Inquiries and business-line Compliance teams.
  • Developing rapport with stakeholders and fostering effective communication.
  • Contributing to the enhancement of Management Information reporting.


  • Competitive salary and benefits package.
  • Opportunity to work in a dynamic and globally renowned financial services firm.
  • Exposure to cutting-edge surveillance technologies and processes.
  • A supportive and inclusive work culture.

Mode and Location

This is a full-time position based at the Nirlon Knowledge Park in Mumbai, Maharashtra. The standard working hours are from Monday to Friday, with flexibility for time-sensitive matters, including India Public Holidays.

Application Procedure

Interested candidates can apply by clicking here. Applicants should ensure their profiles highlight relevant experience and skills.

Important Dates

The posting date for this job opportunity is April 18, 2024. Interested candidates are encouraged to apply promptly to be considered for the position.

For more detailed information and to apply for the position, candidates can access the job posting here.   

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