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For Companies At a Glance
- Tasks: Manage compliance and monitor conflicts of interest in a dynamic financial environment.
- Company: Join Morgan Stanley, a leader in finance with a commitment to diversity and innovation.
- Benefits: Enjoy flexible working arrangements, comprehensive benefits, and career mobility opportunities.
- Why this job: Make a real impact by ensuring compliance and supporting business objectives in a global firm.
- Qualifications: 5+ years of relevant experience and strong communication skills required.
- Other info: Collaborative culture with opportunities for professional growth and development.
The predicted salary is between 48000 - 72000 £ per year.
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. The EMEA Compliance Department provides guidance and advice to all business and support staff at the Firm, including Sales & Trading, Research, Investment Banking, Global Capital Markets, and Investment Management. The Department implements compliance policies, provides training, undertakes surveillance activities, and utilizes exception reports to monitor and investigate firm, customer, and employee trading activity.
The Control Group monitors the Firm's Information Barriers, policies, and procedures to maintain information barriers and pre‑clear conflicts of interest. The Research & Investment Banking coverage team reviews Research, chaperones and gatekeeps communications between Research and the Private Side, and handles personal account trade pre‑clearances and maintains the Firm's Watch and Restricted Lists.
What You'll Do In The Role
- Ongoing Watch and Restricted List maintenance, including interactions with private side deal team members or relevant 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 securities laws and internal policies such as the M&A Research Policy.
- Chaperoning and gatekeeping permissible communications between Research and the Private Side under the Global Research Settlement and internal policies.
- Employee trade pre‑clearances for business units or individuals subject to control group pre‑clearance due to private side, above‑the‑wall or over‑the‑wall status.
Primary Responsibilities
- Information Barriers/Conflict Management: Ensure compliance with procedures designed to prevent conflicts between Investment Banking and Sales & Trading and Research. Monitor status of the Firm's Investment Banking projects and maintain Watch List and Restricted List.
- Advice and Interpretation: Provide advice and interpretation of Morgan Stanley's policies and regulatory requirements, especially regarding Restricted List, communications between Research and Investment Banking, Employee Trading, and working with internal and external lawyers. Provide advice on Takeover Code, US, UK, and other laws and regulations.
- Other: Participate in regional and global system and IT development projects aimed at enhancing the Control Group's surveillance program; participate in audits and annual compliance review; update existing procedures and develop new policies; assist in enhancing existing processes and develop new controls for oversight of Control Group processes; provide supervisory review for sensitive research; participate in training to business units; liaise with business risk management teams and global compliance teams.
Hours of Control Group Coverage
The Control Group operates a shift system ensuring coverage from EMEA based staff from 7 am to 7 pm, managed through a structured shift schedule. Critical weekend coverage is also provided for urgent business‑related issues.
Primary Contacts
Members have constant contact with Legal and Compliance staff and various business units, often with senior staff. The Global Control Group includes regular contact with staff in Hong Kong and New York.
Supervision
The successful candidate will report to the Local Control Group Manager, who reports to the International Head of Control Group. Training needs will be reviewed regularly.
What We’re Looking For
- Typical 5+ years relevant experience.
- University graduate or equivalent degree (business, accounting or law preferably).
- Familiarity with UK and US compliance issues and regulations, including insider dealing and Information Barrier issues, Market Abuse, Financial Promotion, Code of Market Conduct.
- Solid knowledge of relevant product areas (Research, Investment Banking, Capital Markets, Sales & Trading) and regulatory focus for Control Group.
- Professional maturity and strong communication skills; ability to present views to senior management.
- Good analytical and numerical skills.
- Ability to remain focused under pressure, prioritize tasks, and work independently or as a team.
- Experience supervising staff and providing feedback.
- Experience implementing improvements to performance or risk management.
What You Can Expect From Morgan Stanley
Morgan Stanley provides first‑class service, commitment to diversity and inclusion, and a culture of collaboration and innovation. Employees enjoy comprehensive benefits, career mobility opportunities, and support throughout their work‑life journey.
Certified Persons Regulatory Requirements
For a certified role, the holder may be required to maintain mandatory regulatory qualifications or meet internal benchmarks.
Flexible Work Statement
Morgan Stanley empowers employees with flexible working arrangements. Speak to our recruitment team for details.
Equal Opportunities Employer
Morgan Stanley is an equal opportunities employer. We provide a supportive and inclusive environment where individuals can maximize their potential.
Seniority level: Mid‑Senior level
Employment type: Full‑time
Job function: Legal
Control Group Manager - Compliance, Associate / Director (AVP equivalent) in Glasgow employer: Lombard Counseling and Psychological Services
Contact Detail:
Lombard Counseling and Psychological Services Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Control Group Manager - Compliance, Associate / Director (AVP equivalent) in Glasgow
✨Tip Number 1
Network like a pro! Reach out to folks in the industry, especially those already working at Lombard Counseling and Psychological Services. A friendly chat can open doors and give you insider info that could help you stand out.
✨Tip Number 2
Prepare for interviews by diving deep into compliance topics relevant to the role. Brush up on UK and US regulations, insider dealing, and market abuse. The more you know, the more confident you'll feel when discussing your expertise!
✨Tip Number 3
Showcase your analytical skills during interviews. Be ready to discuss how you've tackled compliance challenges in the past. Use real examples to demonstrate your problem-solving abilities and how you can add value to the Control Group.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows you're serious about joining the team and makes it easier for us to keep track of your application.
We think you need these skills to ace Control Group Manager - Compliance, Associate / Director (AVP equivalent) in Glasgow
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Control Group Manager role. Highlight your relevant experience in compliance, especially with UK and US regulations. We want to see how your background aligns with our needs!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your skills can help us manage legal and regulatory risks effectively. Keep it concise but impactful!
Showcase Your Analytical Skills: In your application, don’t forget to showcase your analytical and numerical skills. We’re looking for someone who can handle complex information and make sound decisions under pressure, so give us examples of when you've done this!
Apply Through Our Website: We encourage you to apply through our website for the best chance of getting noticed. It’s straightforward and ensures your application goes directly to our recruitment team. Let’s get started on this journey together!
How to prepare for a job interview at Lombard Counseling and Psychological Services
✨Know Your Compliance Stuff
Make sure you brush up on UK and US compliance regulations, especially around insider dealing and Information Barriers. Being able to discuss these topics confidently will show that you're not just familiar with the role but also understand the critical issues at play.
✨Showcase Your Analytical Skills
Prepare examples of how you've used your analytical skills in past roles, particularly in compliance or risk management. Be ready to discuss specific situations where your insights led to improvements or effective conflict management.
✨Communicate Like a Pro
Since this role involves constant interaction with senior staff and various business units, practice articulating your thoughts clearly and concisely. Think about how you can present complex compliance issues in a straightforward manner.
✨Demonstrate Team Spirit
Highlight your experience working in teams, especially in high-pressure environments. Discuss how you've collaborated with others to achieve compliance goals or improve processes, as teamwork is key in this role.
