Director, Control Group - Research & Investment Banking Coverage

Morgan Stanley Asia Limited; Hong Kong; On-site; HKD 1,500,000 - 2,200,000; Full time

Job summary

Morgan Stanley Asia Limited in Hong Kong seeks a Director for the Control Group covering Research & Investment Banking. You will lead oversight of Information Barriers, manage conflicts of interest, and supervise employee trading pre-clearances in a highly regulated environment.

The role requires a university degree and extensive compliance experience within financial services; you will strengthen governance, maintain watch lists, and coordinate with global teams to ensure regulatory obligations

Qualifications

• University degree or equivalent (preferably in business, accounting, or law)
• Extensive experience in compliance, legal, or regulatory environments within financial services
• Deep understanding of insider trading, market abuse, financial promotions, and Information Barrier frameworks
• Strong analytical mindset with the ability to manage complex regulatory scenarios and make sound judgments
• Excellent communication skills with the ability to influence and challenge senior stakeholders
• Proven ability to operate effectively under pressure and manage multiple priorities
• Strong stakeholder management skills across business units and global teams
• Experience in supervising, mentoring, and developing junior team members
• At least 6 years' relevant experience would generally be expected to find the skills required for this role

Responsibilities

• Lead the oversight and maintenance of the Firm's Watch and Restricted Lists, including engagement with private side deal teams and senior stakeholders
• Oversee documentation, governance, and required notifications under the Firm's Wall Crossing policies and procedures
• Review Fixed Income and Equity Research for compliance with securities regulations and internal policies (including M&A Research Policy)
• Chaperone and gatekeep communications between Research and Private Side businesses, ensuring adherence to regulatory obligations
• Approve and oversee employee personal account dealing pre-clearances for individuals subject to Control Group oversight
• Identify, assess, and escalation complex conflicts of interest and compliance risks to senior management and relevant control functions
• Act as a key point of contact for global Control Group teams and cross-regional stakeholders on Information Barrier matters
• Drive continuous enhancement of processes, controls, and risk management frameworks across the Control Group

Skills

Compliance

Regulatory environment

Stakeholder management

Information Barriers

Communication skills

Leadership

Mentoring

Decision making under pressure

Education

University degree

Law/Accounting background

Regulatory experience in financial services

Job description

Director, Control Group - Research & Investment Banking Coverage

We're seeking someone to join our team as a Director, Control Group - Research & Investment Banking Coverage in Legal & Compliance to lead the oversight of Information Barriers and conflict management across Research and Investment Banking, partnering with senior stakeholders in a highly regulated environment.

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 a Director-level position within the Control Group - Research & Investment Banking Coverage team, which is responsible for maintaining Information Barriers, managing conflicts of interest, monitoring communications between public and private side businesses, and overseeing employee trading activities.

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:

• Lead the oversight and maintenance of the Firm's Watch and Restricted Lists, including engagement with private side deal teams and senior stakeholders
• Oversee documentation, governance, and required notifications under the Firm's Wall Crossing policies and procedures
• Review Fixed Income and Equity Research for compliance with securities regulations and internal policies (including M&A Research Policy)
• Chaperone and gatekeep communications between Research and Private Side businesses, ensuring adherence to regulatory obligations
• Approve and oversee employee personal account dealing pre-clearances for individuals subject to Control Group oversight
• Identify, assess, and escalation complex conflicts of interest and compliance risks to senior management and relevant control functions
• Act as a key point of contact for global Control Group teams and cross-regional stakeholders on Information Barrier matters
• Drive continuous enhancement of processes, controls, and risk management frameworks across the Control Group

What you'll bring to the role:

• University degree or equivalent (preferably in business, accounting, or law)
• Extensive experience in compliance, legal, or regulatory environments within financial services
• Deep understanding of insider trading, market abuse, financial promotions, and Information Barrier frameworks
• Strong analytical mindset with the ability to manage complex regulatory scenarios and make sound judgments
• Excellent communication skills with the ability to influence and challenge senior stakeholders
• Proven ability to operate effectively under pressure and manage multiple priorities
• Strong stakeholder management skills across business units and global teams
• Experience in supervising, mentoring, and developing junior team members
• At least 6 years' relevant experience would generally be expected to find the skills required for this role

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients - helping them reach their goals. We do it in a way that's differentiated - and we've done that for 90 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 opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo .