Control Group Manager - Compliance, Associate / Director (AVP equivalent) at Morgan Stanley

Glasgow, Scotland, United Kingdom -

Full Time

Start Date

Immediate

Expiry Date

20 Feb, 26

Salary

0.0

Posted On

22 Nov, 25

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance, Research, Investment Banking, Capital Markets, Sales & Trading, Communication Skills, Conflict Management, Risk Management, Team Leadership, Policy Development, Regulatory Knowledge, Analytical Skills, Training, Documentation, Supervisory Review, Client Focus

Industry

Financial Services

Description

Day-to-day responsibilities of the members of the Control Group Research and Investment Banking Coverage include, but are not limited to: - Ongoing Watch and Restricted List maintenance, including necessary interactions with private side deal team members or other relevant LCD or business unit contacts. - Documentation and relevant notifications under the Firm's Wall Crossing policies and procedures. - Review of Fixed Income and Equity Research against the Firm's Watch and Restricted List for compliance with relevant securities laws and with internal policies, such as the Firm's M&A Research Policy. - Chaperoning and gatekeeping of permissible communications between Research and the Private Side under the Global Research Settlement and relevant internal policies and procedures. - Employee trade pre-clearances for business units or individuals subject to trade pre-clearance with the Control Group due to their private side, Above-the-Wall or Over-the-Wall status. a. Information Barriers/Conflict Management Ensure compliance with procedures designed to prevent conflicts of interest between Investment Banking and Sales & Trading, and Research activities conducted by the Firm. Closely monitor status of the Firm's Investment Banking including Capital Markets projects and maintain Watch List and Restricted List and related matters. b. Advice and Interpretation c. Other (i) participate in regional and global system and IT development projects aimed at enhancing the Control Group's surveillance program; (ii) participate in audits and Annual Compliance Review as required; (iii) update existing procedures and develop new policies on an ongoing basis; (iv) assist in the enhancement of existing processes and work to develop new controls for oversight of Control Group processes (v) Provide supervisory review for sensitive research and act as a control check on other work items (vi) participate in training to business units; and (vii) liaise with business risk management teams and others in global compliance teams as required. - Typically, 5+ years' relevant experience would generally be expected to find the skills required for this role - University graduate or equivalent degree (in business, accounting or law ideally) - Familiarity with general UK and US compliance issues and relevant laws and regulations, e.g. US Securities Act and the UK Financial Services Act. Particular experience with insider dealing and Information Barrier issues, Market Abuse, Financial Promotion, Code of Market Conduct and applicable laws and regulations - Solid working knowledge of relevant product areas (e.g. Research, Investment Banking and Capital Markets, Sales & Trading) plus a good working knowledge of the main regulatory areas of focus for Control Group (e.g. Information Barriers, Insider Dealing & Market Abuse, US Research Settlement, LTOP, MAR etc.) - Professionally mature and articulate - Good communication skills in order to present views to senior management and to explain technical requirements - Ability to remain focused under pressure, identify and set priorities for others, perform multiple tasks simultaneously - Able to develop strong relations with business units - Able to provide supervision of other staff and have experience of providing feedback and developing other team members - Experience of identifying, evaluating and implementing improvements that either increase the performance of the CG or improve risk management - Able to work both as a team player as well as independently Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser. If this role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks. Flexible work statement Interested in flexible working opportunities? Speak to our recruitment team to find out more. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.

Responsibilities

The Control Group Manager is responsible for maintaining the Watch and Restricted Lists, ensuring compliance with securities laws, and managing communications between Research and Private Side teams. Additional duties include participating in audits, updating procedures, and providing supervisory reviews for sensitive research.