Vacancy for Manager
Morgan Stanley has invited application for the post of “Manager – Compliance Audit” in India-Maharashtra-Mumbai (MSA).
Vacancy for Manager – Compliance Audit
Morgan Stanley helps people, institutions and governments raise, manage and distribute the capital they need to achieve their goals. … We help people, …
About Morgan Stanley
Employment type: Full-Time
Location: India-Maharashtra-Mumbai (MSA)
Salary: Competitive
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. Morgan Stanley can provide a superior foundation for building a professional career – a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Morgan Stanley’s Internal Audit Department reports to the Firm’s Board Audit Committee and comprises financial, technology and risk auditors. Our mission is to be recognized as a strong and high performing audit function that is viewed as a trusted authority and advisor to the Board, Firm management and industry regulators in assessing and strengthening the Firm’s control environment. Internal Audit provides independent assurance on the quality and effectiveness of Morgan Stanley’s internal control, risk management and governance systems and processes.
Responsibilities
- Leading the execution of audit engagements 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. Involvement in scope determination, development of audit planning memorandums, developing testing plans, review of staff fieldwork, issue identification and discussions with clients and report writing.
- Maintaining on-going communication with compliance management to follow-up on previously identified audit issues, as well as execution of closure verification testing to validate remediation of previously identified audit issues.
- Assisting in the drafting of reporting to senior management and contributing to the development of summary materials and occasional presentation to regulatory stakeholders.
- Represent the Compliance audit team by providing subject matter expertise to other business coverage areas in front-to-back audits.
- Providing management with an independent and objective evaluation of the control environment and evaluating management’s’ control consciousness.
- Conducting risk assessments for the Compliance audit entity universe to help drive the development of a risk-based audit plan.
Qualification | Experience | Skills
Vacancy for Manager
- An undergraduate degree in business including Finance, Accounting, Economics, etc.
- An M.B.A. or equivalent post graduate degree is encouraged
- Strong leadership, interpersonal and relationship management skills
- Prior experience with a regulatory entity a plus
- Strong presentation skills with senior management
- Team oriented with a strong sense of ownership and accountability
- Strong technical understanding of the financial services regulatory environment
- Excellent verbal and written communication and interpersonal skills
- Proficient understanding of the internal audit process including risk assessments, planning, scheduling, reporting, continuous auditing. Multi-tasking of various projects and deadlines.
- Solid analytical skills
- Highly motivated with the ability to multi-task and remain organized in a high paced environment
- Three to five years of audit or compliance experience with a financial services firm with a focus on regulatory compliance
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