Director/Manager in Financial Holding Co. Monitoring and Testing
Position Description
The Morgan Stanley Financial Holding Company Monitoring and Testing Legal and Compliance Group is responsible for planning, executing and reporting/escalating of regulatory, adhoc and enterprise wide compliance-based reviews covering various businesses such as Investment Management, Wealth Management, Institutional Securities, Global Political Activities Group, Human Resources and Operations. These reviews focused on evaluating controls and compliance with rules, regulations and Firm policies and procedures.
Responsibilities include:
• Assist in the development of risk based testing programs
• Conduct information gathering sessions with Business Unit personnel (including management and support staff)
• Perform substantive testing and summarize results
• Tack issues and corrective actions until resolution
• Coordinate with Compliance Coverage Areas, globally, to collect metrics for reporting
• Compile and produce periodic reporting on the Firm's global Compliance Test Plan and Compliance testing issues to be presented to management
• Administer FHC MT global applications
Skills Required
Experience:
• The candidate should have 3-6 years of Compliance targeted testing experience in the financial services industry or in Internal Audit with exposure to any of the above noted business areas
• Execute risk-based Compliance testing programs design to assess the existence of effective controls within the firm's policies and procedures
• Identify and document issues and related corrective action plans for exceptions identified from testing and draft formal reports of test results
• The candidate must have excellent written and oral communication skills, maintains a strong degree of attention to detail and deadlines and highly analytical
• A team player and performs well in a dynamic testing environment
Skills Desired
Other Skills:
- Must be proficient in Microsoft Word, Excel and PowerPoint. Knowledge of Visio a plus, SharePoint and web applications.
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