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Director - mumbai, India - Morgan Stanley
Description
DirectorJob Number:
Posting Date
:May 17, 2024Primary Location
:Non-Japan Asia-India-Maharashtra-Mumbai (MSA)Education Level:Refer to Position DescriptionJob
:ComplianceEmployment Type:Full TimeJob Level:Director Description 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.
Skills required (essential)
> 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."