The Control Group maintains information barriers and manages sensitive information relevant to the MSCO businesses. The Group serves as a buffer between the Firm's various business units, controlling and coordinating communications between these areas, as well as conducting global surveillance to ensure that applicable laws and rules are followed.
Sales & Trading coverage team is focused on Watch List and front-running surveillance of employee and principal trading activity in the context of strategic transactions the Firm is advising on, including M&A transactions and capital markets transactions, but is also responsible for Watch and Restricted List maintenance, certain conflicts checks, necessary communications with MS joint-venture partners on related conflicts.
Day-to-day responsibilities of the members of the Control Group Sales & Trading Coverage include, but are not limited to:
Review, appropriate resolution and documentation of new Watch List and Front-Running Surveillance alerts assigned to them as well as the closure of surveillance work items related to already open surveillance issues.
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.
Restricted List guidance for the sales & trading and asset management businesses, including the pre-clearance of relevant principal trading activity.
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.
3+ years relevant experience required
Strong attention to detail required
Proven experience reviewing trade information and analyzing data in relation to information sharing, front running and wall crossing
Strong communication skills required
Bachelor's degree required & Law Degree preferred (but not required)
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