Added Today : 36
Expired Today : 9
Morgan Stanley
ISG Americas Compliance Testing
Division: Legal & Compliance
Location: Mumbai (NKP) Job Level: Director
Company Profile
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Department Profile
Legal and Compliance
Legal & Compliance Division (LCD) comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations.
The Legal Department provides guidance, requirements, and procedures for understanding and complying with the laws, regulations and Firm policies that apply to our businesses.
The Global Compliance Department identifies applicable Compliance Obligations and maintains a Firmwide Compliance Risk management program, including Compliance Risks that transcend business lines, legal entities and jurisdictions of operation.
Global Financial Crimes is responsible for the development and governance of the Firm's financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti-Money Laundering (AML), Sanctions, Anti-boycott, Anti-Corruption (ACG), Government, and Political Activities Compliance (GPAC) programs.
The Global Regulatory Relations Group (GRRG) is responsible for strategic and centralized management of the supervisory activities of Morgan Stanley's regulators and related developments globally, with a focus on regulatory reviews and examinations and continuous monitoring activities. GRRG serves as the central point of contact for the regulatory staff responsible for supervisory activities at Morgan Stanley entities and for timely reporting to Firm management and other governance or management bodies, as appropriate, on those relationships and supervisory processes, including areas of significant regulatory focus or concern.
LCD Center of Excellence Mumbai (LCD CoE) is a part of Morgan Stanley's Global In-house Center, which provides global support to LCD and is an integral part of Firm and LCD strategy
Background on the Team
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.
QUALIFICATIONS
Primary Responsibilities
- 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.
- 9+ years' 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.
Skills desired
- 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 AM 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.
“Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.”
Amazon
ID- LB CI Tech, BOM - Infra Deliver…
Freshers/Experienced
Mumbai, Maharashtra
Last Date: July 9, 2024
KPMG
Digital Trust Data Privacy and Ethi…
KI Professional
Mumbai, Maharashtra
Last Date: July 10, 2024
Amazon
Sr. Administrator, Appeals
Freshers/Experienced
Mumbai, Maharashtra
Last Date: July 16, 2024
KPMG
Technology Enablement SAP-ABAP Seni…
KI Professional
Mumbai, Maharashtra
Last Date: July 10, 2024
KPMG
Risk Advisory Internal Audit Analyst
KI Professional
Mumbai, Maharashtra
Last Date: July 10, 2024
KPMG
Risk Advisory Actuary Manager
KI Professional
Mumbai, Maharashtra
Last Date: July 10, 2024
Morgan Stanley
VP - Non-Financial Risk Technology …
Freshers/Experienced
Mumbai, Maharashtra
Last Date: July 10, 2024
Virtusa
Senior Payment QA Engineer
Full Time
Mumbai, Maharashtra
Last Date: Dec. 31, 2024
Oracle
Senior Oracle Database Administrator
Professional
Mumbai, Maharashtra
Last Date: Aug. 31, 2024
Amazon
Data Center Technician, Data Center…
Freshers/Experienced
Mumbai, Maharashtra
Last Date: July 16, 2024
KPMG
Technology Enablement SAP-Analytics…
KI Professional
Mumbai, Maharashtra
Last Date: July 10, 2024
Morgan Stanley
Associate - Global Marketing Operat…
Freshers/Experienced
Mumbai, Maharashtra
Last Date: July 10, 2024
Morgan Stanley
Director - Business Analyst - PO/BA…
Freshers/Experienced
Mumbai, Maharashtra
Last Date: July 10, 2024
Morgan Stanley
Associate - Product Owner - EDD (We…
Freshers/Experienced
Mumbai, Maharashtra
Last Date: July 10, 2024
Morgan Stanley
Client Onboarding And Reference Dat…
Freshers/Experienced
Bengaluru, Karnataka
Last Date: July 17, 2024
Morgan Stanley
Security Settlements, Analyst, Core…
Freshers/Experienced
Mumbai, Maharashtra
Last Date: July 17, 2024
Morgan Stanley
Director- Net New Assets- Analytics…
Freshers/Experienced
Mumbai, Maharashtra
Last Date: July 17, 2024
Morgan Stanley
Director - Credit Risk Modelling (R…
Freshers/Experienced
Mumbai, Maharashtra
Last Date: July 10, 2024
Morgan Stanley
Analyst/Associate - Product Control…
Freshers/Experienced
Mumbai, Maharashtra
Last Date: July 17, 2024
Morgan Stanley
Director - Product Control (Finance)
Freshers/Experienced
Mumbai, Maharashtra
Last Date: July 17, 2024
Morgan Stanley
Vice President - Quant Analysis Gro…
Freshers/Experienced
Mumbai, Maharashtra
Last Date: July 10, 2024
Morgan Stanley
Vice President - Net New Assets - A…
Freshers/Experienced
Mumbai, Maharashtra
Last Date: July 10, 2024
Morgan Stanley
Vice President_Data Scientist_Techn…
Freshers/Experienced
Bengaluru, Karnataka
Last Date: July 10, 2024