Director, Control Group – Research & Investment Banking Coverage

Were 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 Firms 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 youll do in the role:

• Lead the oversight and maintenance of the Firms Watch and Restricted Lists including engagement with private side deal teams and senior stakeholders
• Oversee documentation governance and required notifications under the Firms 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 escalate 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 crossregional stakeholders on Information Barrier matters
• Drive continuous enhancement of processes controls and risk management frameworks across the Control Group

What youll 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 thats differentiated and weve 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 - arent just beliefs they guide the decisions we make every day to do whats best for our clients communities and more than 80000 employees in 1200 offices across 42 countries. At Morgan Stanley youll 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. Theres also ample opportunity to move about the business for those who show passion and grit in their work.

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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.

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