ISG Americas Compliance Testing, Director, Oversight, Monitoring and Testing

We’re seeking someone to join our team as a Director in Legal and Compliance division. The successful candidate will plan and execute in-depth tests on topics assigned by ISG Americas Compliance Testing.

In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm’s management of legal, regulatory and franchise risk. This is a Director level position within  Oversight, Monitoring and Testing. The ISG Americas Compliance Testing team is part of the broader Global Compliance Testing organization. The team plans and executes the ISG Americas Compliance Testing program.
 

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

What you'll do in the role:

• Execute risk-based compliance testing to review and assess the effectiveness of the Firm's policies and procedures including recommending corrective action plans for gaps identified from testing
• Execution of reviews from initiation to completion including executing and documenting detailed walkthroughs of key processes to identify internal controls, developing, executing, and overseeing substantive testing of control and related procedures, and ultimately reporting identified issues
• Prepare written reports describing the tests conducted, results and corrective action plans. Coordinate with ISG Compliance testing personnel in Americas to track the progress of the test plan for reporting to senior management.
• Track status of corrective action plans agreed upon with the business
• Track internal audit reviews and findings and review internal audit work-papers to identify opportunities to leverage their reviews for compliance testing
• Remain current on industry rules, regulations, and best practices to make recommendations to the testing program

What you'll bring to the role:

• 5+ years' of relevant experience working with medium to large sized investment management firms with diverse business lines is preferred
• Testing, surveillance, or auditing experience a plus
• Strong analytical, organizational, and problem-solving skills
• Ability to prioritize and work effectively on multiple reviews with different individuals at the same time
• Ability to work independently, as well, as in a team
• Ability to work with staff of all levels across departments
• Must have excellent written and oral communication skills
• High degree of organization and attention to detail
• Proficiency with Microsoft Word, Excel, PowerPoint, Adobe, SharePoint, and ability to quickly learn automated systems, such as trade order management systems, portfolio accounting systems, pre/post trade surveillance systems and web applications
• Knowledge of global markets / market regulations
• Audit experience of Stock broking firms will be preferred
• Industry qualifications - CA / CIA or similar certification preferred

Coverage

Monday to Friday from 11:30 PM to 8:30 PM. Coverage is dependent on business needs so flexibility on required finish time or full day's coverage may be required during some Indian holidays.

 

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years.  Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background.  Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.