Control Group Compliance Control Group Compliance …

Morgan Stanley
in Shanghai, Shanghai Shi, China
Permanent, Full time
Be the first to apply
Morgan Stanley
in Shanghai, Shanghai Shi, China
Permanent, Full time
Be the first to apply
Morgan  Stanley
Control Group Compliance

Company Profile
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Morgan Stanley Securities (China) Co., Ltd ("MSSC") is Morgan Stanley's securities business platform in China, and provides leading financial services to its clients in the People's Republic of China and across the globe. Our businesses include underwriting and sponsoring of equities and bonds, proprietary trading of bonds (including government bonds and corporate bonds), as well as other businesses approved by the China Securities Regulatory Commission (CSRC). With headquarter in Shanghai, the company also has a branch in Beijing and an office in Shenzhen.

Department Profile
The Compliance Department o MSSC 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, exchanges, and other bodies; and Firm policies and procedures, etc..

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
Day-to-day responsibilities of the members of the Control Group Compliance 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 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.
  • Compliance surveillance, including E-communications surveillance, employee and firm trading surveillance, etc.
  • Assist the Data Security Officer (DSO) with data transmission related assessments from Compliance perspective
  • Any other Compliance tasks assigned by Compliance managers
Company Overview

Morgan Stanley has earned a worldwide reputation for the excellence of its advice and execution in financial markets. With offices in more than 41 countries, the firm is truly global-and a market leader in the U.S., Europe and Asia as well as in emerging markets. Morgan Stanley's success rests on the talents and passion of our people, who share a common set of values and bring excellence and integrity to everything they do. We seek to grow long-term relationships by virtue of our consistently rigorous thinking and the unsurpassed access to financial markets that Morgan Stanley can bring. This means providing leadership in specific areas such as investment banking, debt and equity underwriting, research, and sales and trading. We also focus increasingly on creating custom-tailored solutions that cut across functions to help our clients realize new opportunities and solve complex problems. Our aim is to be the first choice of everyone who deals in financial markets, whether as prospective clients, employees or investors.

We believe our greatest asset is our people. At Morgan Stanley, you’ll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. Visit to discover who we are and the right opportunity for you.

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