Control Group Officer - London, United Kingdom - Morgan Stanley

Description

Control Group Officer

Job Number:

Posting Date

:Mar 27, 2024

Primary Location

:Europe, Middle East, Africa-United Kingdom-United Kingdom-LondonEducation Level:Bachelor's Degree

Job

:ComplianceEmployment Type:Full TimeJob Level:Vice President Description

Control Group Officer, Vice President

London

Department Profile
The EMEA Compliance Department is a service-oriented department which provides guidance and advice to all business and support staff at the Firm, including Sales & Trading, Research, Investment Banking, Finance, Administration and Operational staff.

The Department provides 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 utilises 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.

Team Profile
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 Research & Investment Banking coverage team within the group is primarily responsible for the review of Research, chaperoning and gatekeeping communications between Research and the Private Side as well as personal account trade pre-clearances and the maintenance of the Firm's Watch and Restricted Lists.

Day-to-day responsibilities of the members of the Control Group Research and Investment Banking Coverage include, but are not limited to:
> 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.
> Review of Fixed Income and Equity Research against the Firm's Watch and Restricted List for compliance with relevant securities laws and with internal policies, such as the Firm's M&A Research Policy.
> Chaperoning and gatekeeping of permissible communications between Research and the Private Side under the Global Research Settlement and relevant internal policies and procedures.
> 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.

Qualifications