Control Group Compliance Manager — Associate/Director

Morgan-Stanley; Glasgow; On-site; GBP 70,000 - 110,000; Full time

Benefits offered by this job

Flexible working

Job summary

Morgan Stanley is seeking a Control Group Manager – Compliance, Associate/Director, to support Information Barriers, watchlist governance, and cross‑business surveillance within the EMEA Compliance function. You will liaise with Investment Banking, Sales & Trading, and Research to ensure regulatory adherence and policy compliance.

The role requires strong analytical skills, stakeholder management, and experience in regulatory affairs, with a focus on insider dealing, market abuse, and

Qualifications

• 2–5 years of relevant experience in compliance or control groups.
• Familiarity with UK and US securities laws and market conduct.

Responsibilities

• Maintain Watch List and Restricted List; coordinate with deal teams.
• Chaperone and gatekeep Research vs. Private Side communications.
• Oversee employee trade pre-clearances and information barriers.
• Provide advisory interpretation of policies and regulatory requirements.
• Participate in audits, annual compliance reviews, and policy updates.
• Contribute to training and escalation processes for business units.

Skills

Information Barriers

Regulatory compliance

Trading surveillance

Internal policies

Education

University degree (business/law)

Tools

UK/US regulatory landscape

Job description

Morgan Stanley is seeking a Control Group Manager – Compliance, Associate/Director, to support Information Barriers, watchlist governance, and cross‑business surveillance within the EMEA Compliance function. You will liaise with Investment Banking, Sales & Trading, and Research to ensure regulatory adherence and policy compliance.

The role requires strong analytical skills, stakeholder management, and experience in regulatory affairs, with a focus on insider dealing, market abuse, and