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Morgan Stanley Head of ISG Trade Surveillance Governance in New York, New York

Team Profile

The Global Surveillance Strategy group is a versatile team of specialists responsible for centrally governing the ISG Trade Surveillance program, as well as identifying and executing strategic and transformative initiatives across the broader Legal and Compliance Division ("LCD") Monitoring program. These initiatives generally aim to improve and effectiveness and efficiency of the division’s risk monitoring functions, including the incubation and implementation of new and innovative methods and technologies. The Global Surveillance Strategy Group works closely with divisional monitoring functions (e.g., ISG Trade Surveillance, Investment Management Trade Surveillance, Wealth Management Monitoring, Information Controls, Global Financial Crimes), as well as LCD Data & Analytics, Technology and reports directly to the Global Head of Monitoring for Compliance and GFC as well as the Global Head of ISG and IM Trade Surveillance.

Position Description

We're looking for a Senior Program Manager to join the Global Surveillance Strategy group to lead the central governance function for the ISG Trade Surveillance Program. In this role, the candidate will coordinate and oversee all of the governance-related activities of the program, including: drafting and managing the program's policies and procedures, coordinating risk assessment processes, creating and managing annual training plans, managing the Program's management information and reporting processes, overseeing vendor engagements and relationships (and associated supplier risk management protocols), coordinating responses to internal and external audit / regulators, and assisting with the program's budget and annual planning processes. The candidate will also act as the Product Owner for the Governance, Program Resiliency, and Tech Mandatory (GPRTM) technology squad and will manage team members who act as Product Owners for other technology squads.


  • Lead the ISG Trade Surveillance Governance Program, including the management of the Program's core governance activities (including risk assessments, policy/procedures, training, resourcing/budgeting, technology oversight, metrics and reporting, vendor management, etc.)
  • Facilitate and attend key governance forums (working groups, steering committees, agile ceremonies, etc.), partnering with senior stakeholders to develop materials, address challenges and drive decision making
  • Manage engagements with internal and external control functions (including internal audit, and regulators)
  • Lead a team of technologists responsible for developing program governance tools (e.g., control inventory) and improving resiliency of the surveillance platform
  • Manage and develop junior team members responsible for leading technology initiatives to support the ISG Trade Surveillance program
  • Lead the coordination and delivery of key management information reporting to senior management within and external to the division
  • Support the ongoing creation of global surveillance metrics, KRIs and KPIs
  • Regularly engage in performance analysis, specifically to analyze the successful completion of short and long-term goals.
  • Escalate and problem solve with executive sponsors when projects are at risk, have roadblocks, or are running long
  • Help to drive innovation and continuous improvement within the global Compliance monitoring program through management of related strategic projects as well as the development and implementation of global frameworks and best practices

Required Skills

  • 7 years of prior experience managing governance frameworks, preferably within the Financial Services and Compliance space
  • Excellent organizational skills, attention to detail, and proven ability to manage complex projects
  • Excellent executive presentation and communication skills with demonstrable history of driving discussion, collaboration and decision making at the senior-leadership level
  • Strong influencing skills to achieve alignment up and down the organization
  • Experience scoping, developing and prioritizing plans for strategic pieces of work
  • Ability to identify, monitor and manage project risks, issues and dependencies and agree appropriate risk responses
  • Possess strong business and technical acumen and are capable and curious to learn across both
  • Strong written and verbal communication skills, proven experience driving product decision making processes
  • Team-oriented and demonstrated willingness to roll up sleeves and get into the weeds of a project

Desired Skills/Nice to haves

  • Experience working in Trade Surveillance, Global Financial Crimes or other compliance-risk management functions
  • Experience working with business intelligence and metrics tools

Job: *Compliance

Title: Head of ISG Trade Surveillance Governance

Location: New York-New York

Requisition ID: 3180929