Control Group Compliance Lead - Associate/Director

96 Morgan Stanley UK Ltd

United Kingdom

On-site

GBP 90,000 - 130,000

Full time

6 days ago

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Job summary

Morgan Stanley is seeking a Control Group Manager – Compliance, Associate/Director in the Legal & Compliance division. The role focuses on monitoring information barriers, advising on regulatory requirements, and ensuring proper pre-clearance of communications and trades.

The team supports multiple business lines and regional operations. The ideal candidate has 2–5 years of relevant experience, a bachelor’s degree (business, accounting or law preferred), and solid knowledge of UK/US compliance

Qualifications

Typically 2–5 years' relevant experience expected for this role.
University graduate or equivalent degree (in business, accounting or law ideally).
Familiarity with UK/US compliance issues and relevant laws and regulations.

Responsibilities

Information Barriers/Conflict Management: monitor Watch List and Restricted List and liaise with deal teams and risk teams.
Advisory and interpretation: explain Morgan Stanley policies and regulatory requirements to control group and business units.
Wall Crossing: document notifications and ensure compliance with Wall Crossing policies and procedures.
Gatekeeping: chaperone permissible communications between Research and the Private Side under the Global Research Settlement.
Employee trade pre-clearances for staff with private side, above-the-wall or restricted status.