Vice President Operational Risk Compliance Testing(Legal - Mumbai, India - Morgan Stanley

Description

Vice President Operational Risk Compliance Testing(Legal & Compliance)

Job Number:

Posting Date

:Apr 5, 2024

Primary Location

:Non-Japan Asia-India-Maharashtra-Mumbai (MSA)

Job

:ComplianceEmployment Type:Full TimeJob Level:Vice President Description Qualifications

Primary Responsibilities:

·Execute risk-based compliance testing and forensic 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 Operational 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 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, operational risk, or auditing experience a plus.

·Knowledge of the 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 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, 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.