Morgan Stanley

Director - Technology Risk Testing (Legal and Compliance)

Posted On

April 2, 2025

Location

Mumbai, Maharashtra

Experience Level

Freshers/Experienced

Job Type

Permanent

Apply By

April 23, 2025

Job Description

We're seeking someone to join our team as a Director Technology Testing Specialist. The successful candidate will plan and execute full-scope and other tests on engagements assigned by Technology Risk Testing. The Technology Risk Testing team is part of the broader Global 2LOD Non-Financial Risk Testing organization. The team plans and executes the Technology Risk annual testing plan.

In the Legal & Compliance division, we protect the Firm’s business by identifying risks and designing programs and policies that guide internal teams on ways to address or mitigate those outcomes. This is an Director level position within the Global Compliance - Testing Team

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 and document test activities in test workpapers. Test activities may include process deep dives, control design reviews, control effectiveness tests, or outcome-based tests.
Attend engagement kickoff meetings.
Interview stakeholders, request and review pertinent policies, standards, procedures, KRI metrics, and other documents, walk through relevant processes and control environments.
Determine and propose appropriate test activities and develop engagement scope memos.
Develop test scripts and recipe cards.
Request and validate receipt of relevant data and samples for testing.
Identify and escalate potential test findings.
Propose action plans and remediation requirements.
Prepare test reports.

Coordinate with Technology Risk testing personnel globally 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 Technology Risk testing reviews
Remain current on industry rules, regulations, and best practices to make recommendations to the testing program.

What you'll bring to the role:

8+ years audit/risk/compliance experience in the financial services industry, a regulator, or a self-regulatory organization.
Experience in executing/conducting Technology reviews.
Knowledge of global regulatory requirements like GLBA, GDPR, Part 30 Information Security, NYDFS etc. and technology control standards like NIST, FFIEC, COBIT, CIS etc.
Strong analytical, organizational, and problem-solving skills.
Investigative skills – inquiry and analysis, interviewing, testing, risk assessment capabilities
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, Bloomberg
Chartered Accountant (CA) or Certified Internal Auditor (CIA) or Certified Information Systems Auditor (CISA) or Certified in Risk and Information Systems Control (CRISC) designations are highly desirable.
BA/BS required with a concentration in Computer Science or Information Technology or Cyber Security
Other relevant industry certification in the Technology field (e.g. CISSP, cloud certifications, etc.) are a plus

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.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. 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.

We're committed to bringing passion and customer focus to the business.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize 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.

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