Summary

This vice president-level compliance manager role sits in Morgan Stanley’s EMEA Control Group, supporting Research and Investment Banking coverage. It focuses on information barriers, conflicts management, surveillance, employee trade pre-clearance, and regulatory guidance; the role also includes supervising other staff and participating in shift coverage.

Responsibilities

• Maintain watch and restricted lists
• Document wall crossings and issue required notifications
• Review research against restricted lists and policies
• Gatekeep communications between research and private-side teams
• Pre-clear employee trades for designated business units
• Advise on compliance policies and regulatory requirements
• Update procedures and develop oversight controls