Regional Surveillance Technical Officer, Vice President

## Trade Surveillance Compliance Technical Officer Primary Responsibilities * 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. * 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. * Leading local surveillance-related projects or initiatives. * Conducting ad hoc trading reviews to support Legal and Compliance colleagues, and detailed incident reviews on behalf of the Firm, as necessary. * Analyze large-scale trading and market data to identify patterns, anomalies, and potential misconduct. * Develop, test, and refine surveillance logic, scenarios, and thresholds using data-driven approaches. * Perform deep-dive analysis on trading activity to support alert investigations and model calibration. * Work with structured and unstructured data across equities, derivatives, and fixed income. * Partner with Technology to design, implement, and enhance surveillance systems and data pipelines. * Write and run queries (e.g., SQL) and use analytical tools to extract and validate trading data. * Automate recurring analysis, reporting, and control processes where possible. * Support onboarding of new data sources and ensure data quality and integrity. * Conduct daily review and investigation of surveillance alerts generated by the system. * Perform root cause analysis on alerts, including data validation and scenario effectiveness review. * Lead or support enhancements to surveillance scenarios, models, and controls. * Liaise with Compliance, Front Office, Risk, and Technology teams to resolve issues and enhance controls. * Driving execution of daily surveillance of equities, derivatives and fixed income trading to monitor for compliance with regulatory and exchange requirements. ## Skills Required (Essential) * Experience in analysis of trading and market data. * Experience working on data quality monitoring, including identifying gaps and data integrity issues. * Hands-on experience with alert tuning, including threshold calibration and scenario refinement. * Working knowledge of SQL or similar query tools. * Ability to translate surveillance requirements into data logic and rules. * 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. * Understanding of regulatory requirements and regulatory environment in Japan. * 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. WHAT YOU CAN EXPECT FROM MORGAN STANLEY: At Morgan Stanley, we raise, manage and allocate capital for...