Morgan Stanley India | Wealth Management - Compliance Tester, Director, Oversight, Monitoring and Testing

What you'll do in the role

• We're seeking someone to join our team as an Director in the Legal and Compliance division.
• This is a Director level position within the Oversight, Monitoring and Testing for The Compliance Testing team, this team is responsible for executing risk-based compliance reviews across Wealth Management businesses, including E*TRADE.
• This role ensures adherence to regulatory requirements and internal policies through comprehensive testing and reporting.
• Assisting in the preparation of test planning memoranda.
• Execution of reviews from initiation to completion.
• Identifying and evaluating key risks and contribute to establishing test scope.
• Developing and executing tests in line with global monitoring and testing standards.
• Leading walkthrough meetings and discussions with the purpose of developing test scope and identifying control issues.
• Maintaining detailed and organized documentation of work product.
• Drafting test reports; writing clear and concise findings.
• Communicating test results to senior management and escalating significant issues promptly.
• Tracking implementation of recommended corrective action plans designed to strengthen internal controls to completion.
• Perform validation testing to confirm remediation of identified issues.
• Developing and maintaining strong working relationships with Business, Compliance, Legal and Risk groups.

What you'll bring to the role

• At least 5+ years' professional experience at a financial institution or consulting firm, preferably in compliance, risk management, or audit.
• Ability to interact with diverse teams.
• Excellent communication skills - written and oral.
• Proficient in Microsoft Office (Excel, Word, PowerPoint).
• Strong interpersonal, communication, analytical, research, and organizational skills.
• Ability to work and make independent decisions associated with Compliance testing protocols.
• Excellent time management skills, attention to detail and ability to execute tasks within tight deadlines.
• Has the ability to perform data analysis.
• Has the ability to effectively handle a fast-paced environment and successfully meet established deadline requirements.
• Ability to research and resolve issues independently while working across teams to acquire information.
• Proficient in Microsoft Office (Excel, PowerPoint, Word).
• Be self-motivated and must have the ability to work independently.
• Knowledge of global markets / market regulations / investment banking functions.
• Industry qualifications - CA or similar certification.
• Bachelor's Degree or higher required

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