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Morgan Stanley

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3.7

based on 1.4k Reviews

139 Morgan Stanley Jobs

Director - Core Compliance Audit (Internal Audit)

Morgan Stanley Advantage Services Pvt. Ltd.

3.7

based on 1.4k Reviews

8-13 years

Mumbai

1 vacancy

Director - Core Compliance Audit (Internal Audit)

Morgan Stanley

posted 5d ago

Job Role Insights

Flexible timing

Key skills for the job

Risk Management Wealth Management Financial Services CCTV Monitoring Investment Management Regulatory Compliance

+ 1 more

Job Description

Were seeking someone to join our team as a Director in the Compliance audit team specifically providing coverage for core regulatory Compliance space.

Internal Audit

The Internal Audit Department (IAD) reports directly to the Board Audit Committee, and is an objective and independent function within Morgan Stanley s risk management framework. IAD assists senior management and the Audit Committee of the Board (BAC) in the effective discharge of their legal, fiduciary and oversight responsibilities. Comprises over 400 employees globally. IAD is responsible for providing independent assurance on the quality and effectiveness of Morgan Stanley s system of internal control, including risk management and governance systems and processes. IAD also serves as an objective and independent function within the Firm s risk management framework to foster continual improvement of risk management processes by identifying and assessing operating risks, and evaluating the adequacy and effectiveness of the Firm s related internal controls. Based on these activities, IAD develops an independent and informed view of the risks faced by Morgan Stanley and the effectiveness of the risk management processes employed to manage them. In doing so, we help drive Firm resources to vulnerabilities.

Business Audit

This is a Director position within Business Audit, which is responsible for inspecting controls in front, middle and back offices.

Morgan Stanley is an industry leader in financial services, known for mobilizing capital to help governments, corporations, institutions, and individuals around the world achieve their financial goals.

What you ll do in the role:

Help identify risk and impact to the Regulatory Compliance area within the Compliance division to prioritize areas of focus.
Execute and lead aspects of assurance activities (e.g., audits, continuous monitoring, closure verification) to assess risk and formulate a view on the control environment.
Facilitate conversations with stakeholders on risks, their impact and how well they are managed in a clear, timely and structured manner.
Assist in managing multiple deliverables in line with team priorities
Solicit and provide feedback and participate in formal and on-the-job training to further develop self and peers

What you ll bring to the role:

At least 4 years relevant experience would generally be expected to find the skills required for this role.
Understanding of business line and key regulations relevant to Global Financial Crimes, including KYC process
Strong understanding of audit principles, methodology, tools and processes (e.g., risk assessments, planning, testing, reporting and continuous monitoring)
Ability to identify and analyze multiple data sources to inform point of view
Ability to ask meaningful questions, understand various viewpoints and adapt messaging accordingly.
A commitment to practicing inclusive behaviours
Strong verbal and written communication skills.

Employment Type: Full Time, Permanent

Read full job description

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