Control Group Sales & Trading Coverage - Associate
Morgan Stanley UK
Hong Kong, Hong Kong
Transactional guidance and advice
Implement compliance policies
Undertake surveillance activities
The Control Group Sales & Trading Coverage Associate will provide general transactional guidance and advice to Business Units, implement compliance policies, and provide training
Job Summary
The Control Group Sales & Trading Coverage Associate will provide general transactional guidance and advice to Business Units, implement compliance policies, and provide training.
Responsibilities include monitoring the Firm’s Information Barriers, pre-clearing business activities, reviewing surveillance alerts, and maintaining Watch and Restricted Lists.
Morgan Stanley is committed to maintaining first-class service and high standards of excellence, offering attractive employee benefits and opportunities for growth.
Matching Summary
The Control Group Sales & Trading Coverage Associate will provide general transactional guidance and advice to Business Units, implement compliance policies, and provide training.
Skills & Requirements
Must-have
Transactional guidance and advice
Implement compliance policies
Undertake surveillance activities
Monitor and investigate trading activity
Information Barrier monitoring
Pre-clearance of business activities
Email surveillance
Nice-to-have
Professionally mature and articulate
Strong relations with business units
Develop other team members
Improve risk management
Work as a team player independently
Key Requirements
University graduate or equivalent degree
At least 4 years' relevant experience
Familiarity with general compliance issues
Experience with insider dealing and Information Barrier issues