Position Category: Legal/Compliance
Position Title: Compliance Associate - Control Room
Job Level: Professional
Location: USA - NY - New York
Education Required: Bachelors Degree
Position Description:
Compliance Associate in the Control Group to perform the following duties in a highly sensitive area of Morgan Stanley:
Monitor the Firm’s information barriers , track information flow and conduct surveillance of principal and employee trading activity
Review research for compliance with applicable regulatory requirements and internal policies
Track engagements of the banking division
Chaperone communications between investment banking and research personnel
Implement and provide advice with respect to the Firm’s information barrier policies, including trading restrictions, clearance of employee trading requests, research publication and Wall crossings
Skills Required:
Ability
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