APAC Trade Surveillance and Regulatory Inquiries, Manager/Director

Company Profile
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 ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Division Profile
Professionals within the Legal and Compliance Division provide a wide range of services to our internal and external stakeholders. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the Firm's invaluable reputation for integrity and protect the Firm from sanctions with a Legal and Compliance framework that meets regulatory requirements. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm's businesses.

Background on the Role

Morgan Stanley Compliance is looking for a Trade Surveillance and Regulatory Inquiries professional for the APAC Regional Office within the Legal and Compliance Division. The APAC Trade Surveillance function is responsible for designing, implementing and operating a range of automated surveillance controls to detect and report market abuse and other misconduct risks across the Firm's businesses, covering Institutional Securities and Wealth Management. It conducts post-trade surveillance and monitoring of trading activities in equity, derivatives, fixed income and commodities products across the APAC region to detect trading activity that could adversely affect the firm and its reputation. They work closely with global colleagues and stakeholders across the Firm (including Legal and Compliance, Business Unit Risk Management, Operations and Technology) to promote the ongoing development of an effective surveillance program.

Additionally, the role will be responsible for responding to trading related regulatory inquiries from APAC regulators and exchanges.

Primary Responsibilities

Trade Surveillance

• Assist in timely analysis of alerts escalated by the offshore Surveillance team leading to the detection and prevention of potential market abusive behaviour with minimum supervision;
• Promptly escalate potential market misconduct activities identified to Supervisor for follow-up and necessary actions
• Assist in performing surveillance reviews of trading activity by analyzing complex situations, identifying high risk behavior, and applying judgement to resolve issues in an efficient manner;
• Participate in and contribute to the design and development of controls to enhance surveillance coverage and capability to address various forms of market abuse risk;
• Maintain harmonized relationship with stakeholders, including Compliance Coverage, Country Compliance, Legal, Business Units, Risk Management, Operation and Technology; and
• Work with various teams such as Technology and Data Analytics and/or vendors in developing new tools and controls to enhance surveillance capability in view of business changes and regulatory developments

Regulatory Inquiries

• Assist in preparing response to trading related regulatory inquiries for APAC markets, including but not limited to Hong Kong (e.g. HK SFC, HKEX Stock Connect), China (e.g. QFII), Korea, Singapore, Taiwan, Australia, India and other ASEAN markets (e.g. foreign investor businesses) by retrieval of required information from the Firm's trading and order management systems;
• Work with Legal and Compliance Coverage, Business Units and Business Unit Risk Management in responding to the regulators, where necessary;
• Assist Legal/Litigation with orders and trades related analysis; and
• Continuously work with Technology to ensure the Regulatory Inquiry related system/ tool is up-to-date, accurate and operates in an efficient manner.