Oversaw a team of Monitoring Officers responsible for market manipulation surveillance. Additionally, served as onshore escalation manager for the Mumbai based Monitoring team. Coordinated surveillance training for the Mumbai group. Coordinated with the Global Financial Crime Unit to investigate and resolve suspicious activity discovered by the Monitoring Team. Reviewed and enhanced Surveillance and Procedures to reflect industry and regulatory standards. Conducted a monthly call with the division's Quality Control officer to validate and/or challenge potential findings related to reviews conducted by Monitoring officers. Implemented transition of surveillance reviews from legacy systems to the Nasdaq SMARTS environment.

Escalation Manager for a team of Regional Monitoring Officers located in NY and Baltimore responsible for oversight of retail branch supervisory activities. Executed suitability reviews related to traditional packaged investment products, equities, options, and fixed income. Conducted monthly calls with Regional Risk Officers to discuss action plans and potential escalations to senior management. Coordinated efforts with the Firm's Heightened Supervision Committee to investigate potential financial advisor misconduct or sales practice concerns. Consulted with subject matter experts and Field supervisory personnel to determine whether identified activity warranted further action or escalation. Collaborated with the Firm's Policies and Procedures team on multiple Lessons Lessons Learned exercises that examined incidents with possible regulatory impact and brainstormed process enhancements to prevent similar events in the future.

Provided compliance advisory coverage for mutual funds, variable annuity, and unit investment trusts (UITs). Partnered with other subject matter experts to compose compliance notices and written supervisory procedures. (WSPs). Created business requirement documents and performed User Acceptance Testing(UAT) in conjunction with information technology. Presented at the Firm's quarterly "National Day of Compliance" as a subject matter expert on variable annuities and mutual funds. Introduced new and updated compliance policies on monthly joint risk/compliance calls.

Supervised a team of District Surveillance Analysts responsible for product suitability reviews.Partnered with IT and senior management to transition Morgan Stanley mainframe reviews to the Actimize platform. Member of the Variable Annuity Virtual Team comprising of senior Legal, Compliance, and Business personnel that met monthly to brainstorm new product ideas, surveillance trends, and FA monitoring related to 1035 exchanges. Worked directly with the annuity Central Review Unit CRU team to question patterns of 1035 exchanges.