We're seeking someone to join our team as an Director in the Legal and Compliance division.

In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Director level position within the Oversight, Monitoring and Testing for The Compliance Testing team, this team is responsible for executing risk-based compliance reviews across Wealth Management businesses, including E*TRADE. This role ensures adherence to regulatory requirements and internal policies through comprehensive testing and reporting.

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world

What you'll do in the role:
- Assisting in the preparation of test planning memoranda
- 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
- Identifying and evaluating key risks and contribute to establishing test scope
- Developing and executing tests in line with global monitoring and testing standards.
- Leading walkthrough meetings and discussions with the purpose of developing test scope and identifying control issues
- Maintaining detailed and organized documentation of work product
- Appropriately assessing potential issues for significance and root cause
- Drafting test reports; writing transparent and concise findings
- Communicating test results to senior management and escalating significant issues promptly
- Tracking implementation of recommended corrective action plans designed to strengthen internal controls to completion
- Perform validation testing to confirm remediation of identified issues
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📌 Wealth Management (Mumbai)
🏢 Morgan Stanley
📍 Mumbai