Compliance Testing, Director, Oversight, Monitoring and Testing
On-site · Mumbai, Maharashtra, India
Job Summary
Director, Compliance Testing lead role in Oversight, Monitoring and Testing within Morgan Stanley's Legal & Compliance division. Execute risk-based compliance and forensic testing to assess the effectiveness of policies and procedures, develop corrective action plans, and oversee testing from initiation to completion. Responsibilities include documenting tests, writing reports detailing results and remediation, coordinating with Enterprise Operational Risk testing globally, tracking corrective action progress, reviewing internal audit work-papers for leverage in compliance testing, and staying current on industry rules, regulations and best practices to enhance the testing program. Qualifications emphasize 8+ years of relevant testing/auditing experience, knowledge of Operational Risk and Non-Financial Risk, Information Security and Fraud risk understanding, strong analytical and communication skills, ability to manage multiple reviews and work both independently and with staff at all levels; proficiency with Microsoft Office and related systems. Preference for CA/CIA or similar certifications.
Required Qualifications
- Director level
- 8+ years of relevant experience in testing, surveillance, operational risk, or auditing
- Knowledge of Operational Risk and Non-Financial Risk
- Knowledge of Information Security and Fraud Risk assessment and prevention and detection controls
- Strong analytical, organizational, and problem-solving skills
- Ability to prioritize and work on multiple reviews simultaneously
- Ability to work independently and in a team
- Excellent written and oral communication skills
- Proficiency with Microsoft Word, Excel, PowerPoint, Adobe, SharePoint, Bloomberg
- Familiarity with automated systems such as trade order management systems and portfolio accounting systems
- Industry qualifications - CA / CIA or similar certification preferred
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