Control Group Sales & Trading Coverage - Associate at Morgan Stanley

, Hong Kong, China -

Full Time

Start Date

Immediate

Expiry Date

21 Feb, 26

Salary

0.0

Posted On

23 Nov, 25

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Analytical Skills, Numerical Skills, Communication Skills, Compliance Knowledge, Risk Management, Teamwork, Supervision, Feedback, Problem Solving, Relationship Building, Pressure Management, Prioritization, Documentation, Surveillance, Trading Guidance, Market Regulations

Industry

Financial Services

Description

Day-to-day responsibilities of the members of the Control Group Sales & Trading Coverage include, but are not limited to: Review, appropriate resolution and documentation of new Watch List and Front-Running Surveillance alerts assigned to them as well as the closure of surveillance work items related to already open surveillance issues. 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. Restricted List guidance for the sales & trading and asset management businesses, including the pre-clearance of relevant principal trading activity. 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. University graduate or equivalent degree (in business, accounting or law ideally) The candidate does not need previous Control Group experience. Familiarity with general compliance issues and relevant laws and regulations. Experience with insider dealing and Information Barrier issues, Market Abuse, Financial Promotion, Code of Market Conduct and applicable laws and regulations would be a benefit Professionally mature and articulate Good analytical and numerical skills 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 At least 4 years' relevant experience would generally be expected to find the skills required for this role 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. 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

Members of the Control Group Sales & Trading Coverage are responsible for reviewing and resolving surveillance alerts, maintaining Watch and Restricted Lists, and providing guidance on trading activities. They also document notifications under the Firm's Wall Crossing policies and interact with various business units.