We're seeking someone to join our team as a Director in Legal and Compliance division. The successful candidate will plan and execute in-depth tests on topics assigned by ISG Americas Compliance Testing.

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 Oversight, Monitoring and Testing. The ISG Americas Compliance Testing team is part of the broader Global Compliance Testing organization. The team plans and executes the ISG Americas Compliance Testing program.

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:
Execute risk-based compliance 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 ISG Compliance testing personnel in Americas 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 prospects to leverage their reviews for compliance testing
Remain current on industry rules, regulations, and best practices to make recommendations to the testing program

What you'll bring to the role:
5+ years' of relevant ex

📌 Isg Americas Compliance Testing, Director, Oversight, Monitoring And Testing Mumbai
🏢 Morgan Stanley
📍 Mumbai