Technology Risk Tester - Director - Legal and Compliance

Profile Description

We're seeking someone to join our team as a Director in Global Compliance team, The successful candidate will plan and execute full-scope and other tests on engagements assigned by Technology Risk Testing. The Technology Risk Testing team is part of the broader Global 2LOD Non-Financial Risk Testing organization. The team plans and executes the Technology Risk annual testing plan.

Legal and Compliance

In the Legal Compliance division, we protect the Firm’s business by identifying risks and designing programs and policies that guide internal teams on ways to address or mitigate those outcomes

Company Profile

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.

At Morgan Stanley India, we support the Firm’s global businesses, with critical presence across Institutional Securities, Wealth Management, and Investment management, as well as in the Firm’s infrastructure functions of Technology, Operations, Finance, Risk Management, Legal and Corporate Enterprise Services. Morgan Stanley has been rooted in India since 1993, with campuses in both Mumbai and Bengaluru. We empower our multi-faceted and talented teams to advance their careers and make a global impact on the business. For those who show passion and grit in their work, there’s ample opportunity to move across the businesses for those who show passion and grit in their work.

Interested in joining a team that’s eager to create, innovate and make an impact on the world? Read on…

What you’ll do in the role:

• Attend engagement kick-off meetings.
• Interview stakeholders, request and review pertinent policies, standards, procedures, KRI metrics, and other documents, walk through relevant processes and control environments.
• Determine and propose appropriate test activities and develop engagement scope memos.
• Develop test scripts and recipe cards.
• Request and validate receipt of relevant data and samples for testing
• Execute and document test activities in test workpapers. Test activities may include process deep dives, control design reviews, control effectiveness tests, or outcomes-based tests.
• Identify and escalate potential test findings.
• Propose action plans and remediation requirements.
• Prepare test reports
• Coordinate with Technology 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 Technology Operational Risk testing reviews.
• Remain current on industry rules, regulations, and best practices to make recommendations to the testing program.

Technology Risk Tester - Director - Legal and Compliance

Profile Description

We're seeking someone to join our team as a Director in Global Compliance team, The successful candidate will plan and execute full-scope and other tests on engagements assigned by Technology Risk Testing. The Technology Risk Testing team is part of the broader Global 2LOD Non-Financial Risk Testing organization. The team plans and executes the Technology Risk annual testing plan.

Legal and Compliance

In the Legal Compliance division, we protect the Firm’s business by identifying risks and designing programs and policies that guide internal teams on ways to address or mitigate those outcomes

Company Profile

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.

At Morgan Stanley India, we support the Firm’s global businesses, with critical presence across Institutional Securities, Wealth Management, and Investment management, as well as in the Firm’s infrastructure functions of Technology, Operations, Finance, Risk Management, Legal and Corporate Enterprise Services. Morgan Stanley has been rooted in India since 1993, with campuses in both Mumbai and Bengaluru. We empower our multi-faceted and talented teams to advance their careers and make a global impact on the business. For those who show passion and grit in their work, there’s ample opportunity to move across the businesses for those who show passion and grit in their work.

Interested in joining a team that’s eager to create, innovate and make an impact on the world? Read on…

What you’ll do in the role:

• Attend engagement kick-off meetings.
• Interview stakeholders, request and review pertinent policies, standards, procedures, KRI metrics, and other documents, walk through relevant processes and control environments.
• Determine and propose appropriate test activities and develop engagement scope memos.
• Develop test scripts and recipe cards.
• Request and validate receipt of relevant data and samples for testing
• Execute and document test activities in test workpapers. Test activities may include process deep dives, control design reviews, control effectiveness tests, or outcomes-based tests.
• Identify and escalate potential test findings.
• Propose action plans and remediation requirements.
• Prepare test reports
• Coordinate with Technology 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 Technology Operational Risk testing reviews.
• Remain current on industry rules, regulations, and best practices to make recommendations to the testing program.

What you’ll bring to the role:

• 6 -10 years’ experience working with medium to large sized firms in technology risk management/technology operational risk testing/technology internal audit/information technology control governance testing. Certified Internal Auditor (CIA) or Certified Information Systems Auditor (CISA) or Certified in Risk and Information Systems Control (CRISC) designations are highly desirable.
• Other relevant industry certification in the Technology field (e.g. CISSP, cloud certifications, etc) are a plus.
• Experience leading and conducting Technology reviews.
• Investigative skills – inquiry and analysis, interviewing, testing, risk assessment capabilities
• 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.

What you can expect from Morgan Stanley

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. Our Firm is differentiated by the caliber of our diverse team, while our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.

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.

What you’ll bring to the role:

• 6 -10 years’ experience working with medium to large sized firms in technology risk management/technology operational risk testing/technology internal audit/information technology control governance testing. Certified Internal Auditor (CIA) or Certified Information Systems Auditor (CISA) or Certified in Risk and Information Systems Control (CRISC) designations are highly desirable.
• Other relevant industry certification in the Technology field (e.g. CISSP, cloud certifications, etc) are a plus.
• Experience leading and conducting Technology reviews.
• Investigative skills – inquiry and analysis, interviewing, testing, risk assessment capabilities
• 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.

What you can expect from Morgan Stanley

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. Our Firm is differentiated by the caliber of our diverse team, while our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.

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.