Morgan Stanley India | ISG Americas Compliance Testing, Director, Oversight, Monitoring and Testing

What you'll do in the role

• 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.
• 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.
• 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.
• 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.

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.
• Knowledge of global markets / market regulations.
• Audit experience of Stock broking firms will be preferred.
• Industry qualifications - CA / CIA or similar certification preferred.
• 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

Morgan Stanley

Morgan Stanley is a global financial services firm founded in New York in 1935, known for investment banking, sales and trading, wealth management and investment management.

Its teams in India support the firm's global businesses. For chartered accountants this means corporate controllers, external reporting, regulatory reporting, tax and risk roles.

• Industry: Investment banking, wealth and investment management
• Headquarters: New York, USA
• In India: Teams in Mumbai and Bengaluru supporting global businesses