We're seeking someone to join our team as a Vice President in the Legal and Compliance division.

In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is an Vice President level position within the Oversight, Monitoring and Testing.

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

What you'll do in the role:
- The successful candidate will be responsible for a range of surveillance and compliance activities, including but not limited to:
- Conducting daily surveillance across equities, derivatives, fixed income, and commodities trading to ensure compliance with regulatory and exchange requirements.
- Collaborating with Compliance, Operations, and front office teams to investigate and resolve surveillance alerts.
- Reviewing and escalating alerts appropriately,



documenting outcomes clearly and escalating potential issues without delay. Assessing and enhancing the effectiveness of surveillance reports and related monitoring tools.
- Performing ad hoc trading reviews to support Legal and Compliance teams, including detailed incident assessments, and preparing and submitting STORs to the FCA or other competent authorities when required.
- Designing, enhancing, and calibrating surveillance controls, as well as supporting the implementation of new controls.
- Contributing to surveillance related projects and initiatives, ensuring timely and effective delivery.
- Maintaining robust working relationships across regions and levels, collaborating with colleagues in EMEA and global surveillance teams to support the surveillance program.
- Partnering with key stakeholders - Sales & Trading Coverage, Business Control Unit, Technology, external vendors to design and implement enhancements to t

📌 Trade Surveillance, Vice President, Oversight, Monitoring and Testing (Mumbai)
🏢 Morgan Stanley
📍 Mumbai