Description

We're seeking someone to join our team as an Associate, Control Group Sales & Trading Coverage in Compliance to provided general transactional guidance and advice to Business Units and other staff, implements compliance policies as required, and provides training. It also undertakes surveillance activities and utilizes exception reports to monitor and, where appropriate, investigate Firm, customer and employee trading activity. The Department is also called upon to render advice on legal requirements; the rules and regulations of statutory and SROs, exchanges, and other bodies; and Firm policies and procedures.

In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is an Associate level position within the Control Group is responsible for monitoring the Firm's Information Barriers, policies and procedures implemented to maintain said Information Barriers and pre-clearance of certain business activities that may present potential conflicts of interest. The Sales and Trading coverage team within the group is primarily responsible for the clearance, review and takeover panel reporting of the trading activities of the firm and employees as well as email surveillance and the maintenance of the Firm's Watch and Restricted Lists.

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

What you'll do in the role:

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.

What you'll bring to the role:

• 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

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. 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. At Morgan Stanley, you'll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. 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.

Morgan Stanley is an equal opportunities employer. 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.