Compliance Control Group Analyst

  • Competitive
  • Glasgow, Scotland, United Kingdom
  • Permanent, Full time
  • Morgan Stanley
  • 18 Oct 17 2017-10-18

See job description for details

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.

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.

Background on the Team
The Employee Investing and Activities Compliance (“EIAC”) team is responsible for oversight of the Firm’s Personal Account Trading and Outside Business Activities policies and procedures implemented to identify personal trading and business activities that may present potential conflicts of interest.

Primary Responsibilities
Day-to-day responsibilities of the members of the EIAC team include, but are not limited to:
- Responding to queries in relation to global and divisional Outside Business Interest and Employee Trading policies
- Assisting with the Compliance review of outside brokerage account disclosures
- Liaising with overseas Compliance teams in relation to outside brokerage account documentation
- Providing updates and improvements to policies and procedures
- Producing and presenting key metrics to management
- Providing support to more senior members of the team
- Ad hoc tasks within the team

Primary Contacts
Due to the diverse and widespread nature of the team’s role, the team members are in close constant contact with other staff from Legal and Compliance and various business units. Interaction can often be with very senior members of staff. The Firm runs a global EIAC team and there is regular contact with staff in Mumbai, Hong Kong and New York.

The successful candidate will report to a manager within EIAC who reports to the EMEA Control Group Manager. Training needs for the individual would be reviewed regularly.


Skills required (essential)
- Motivated and enthusiastic: eager to learn and develop new skills; ready to become involved in various projects; open to new opportunities and challenges.
- University graduate or equivalent degree
- The candidate does not need previous EIAC experience;
- Knowledge of the key businesses and conflicts that may exist in an investment bank
- Professionally mature and articulate
- Good analytical and numerical skills
- Good communication skills in order to explain technical requirements to employees
- Ability to remain focused under pressure, identify and set priorities, perform multiple tasks simultaneously
- Able to work both as a team player as well as independently

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents*LI-KH1