Morgan StanleyMumbai, Maharashtra, IndiaOn-siteFull-time5+ years
Listing expiry: 21 October 2026
About the role
Role Overview
The Director will plan and execute risk-based compliance testing for the ISG Americas Compliance Testing program, assessing the effectiveness of firm policies, procedures, and controls. The role sits within the Legal and Compliance division and supports the management of legal, regulatory, and franchise risk.
Key Responsibilities
- Execute risk-based compliance testing to assess the effectiveness of firm policies and procedures and recommend corrective action plans for identified gaps.
- Manage reviews from initiation to completion, including documenting process walkthroughs and identifying internal controls.
- Develop, execute, and oversee substantive testing of controls and related procedures.
- Prepare written reports describing tests conducted, results, identified issues, and corrective action plans.
- Coordinate with ISG Compliance Testing personnel in the Americas to track test-plan progress and report to senior management.
- Track the status of corrective action plans agreed with the business.
- Track internal audit reviews and findings and review internal audit workpapers to identify opportunities to leverage existing reviews for compliance testing.
- Remain current on industry rules, regulations, and best practices and recommend improvements to the testing program.
Qualifications & Experience
- At least 5 years of relevant experience working with medium to large investment management firms with diverse business lines is preferred.
- Testing, surveillance, or auditing experience is an advantage.
- Strong analytical, organizational, and problem-solving skills.
- Ability to prioritize and manage multiple reviews involving different stakeholders.
- Ability to work independently and collaboratively with staff across departments and seniority levels.
- Excellent written and oral communication skills, strong organization, and attention to detail.
- Proficiency with Microsoft Word, Excel, PowerPoint, Adobe, and SharePoint, and ability to learn automated systems and web applications quickly.
- Knowledge of global markets and market regulations.
- Audit experience with stockbroking firms is preferred.
- CA, CIA, or a similar industry certification is preferred.
Additional Details
- The stated coverage is Monday to Friday, 11:30 PM to 8:30 PM. Coverage depends on business needs, and flexibility regarding finish times or full-day coverage may be required during some Indian holidays.
- The position is within the Oversight, Monitoring and Testing function of the broader Global Compliance Testing organization.