HYBRID: Compliance Testing Vice President
Company: Morgan Stanley
Location: Alpharetta
Posted on: March 12, 2023
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Job Description:
Job Description - HYBRID: Compliance Testing Vice President
(3233174) Job Description HYBRID: Compliance Testing Vice President
Job Number: 3233174 Posting Date : Mar 7, 2023 Primary Location :
Americas-United States of America-Georgia-Alpharetta Education
Level : Bachelor's Degree Job : Compliance Employment Type : Full
Time Job Level : Vice President Description 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. The talent and passion of our people
is critical to our continued success as a firm. Together, we share
core values rooted in integrity, excellence and strong team ethic.
-Morgan Stanley is committed to helping its employees build
meaningful careers and we strive to be a place for people to learn,
achieve and grow. Legal and Compliance - Professionals within Legal
and Compliance provide a wide range of services to our business
units. They might help to structure a complex and sensitive
cross-border transaction; advise on a new product introduction;
develop a training program or defuse an investor dispute. They
preserve the firm's invaluable reputation for integrity and protect
the Firm from sanctions with policies and procedures that meet
regulatory requirements around the world. They also strive to
maintain cooperative relationships with governmental policy makers
and the regulatory and self-regulatory agencies that govern the
Firm's businesses. Position Description:
- Perform testing of various business lines, functions and
processes in order to assess and review compliance with legal,
reglatory and internal Firm requirements
- Coverage could -include -various Morgan Stanley business lines,
such as Sales & Trading, Investment Banking, Wealth Management,
Banks and/or Infrastructure
- Management and oversight of team to ensure -objectives and goals
are met for both the department and employees
- The testing process includes followed by test execution (via
interviews, observations, re-performance of key controls, etc.)
- The testing process responsibilities include: - Planning:
reviewing background information on regulatory and policy
requirements, reviewing relevant procedures and processes,
identifying the key controls to be tested, and determining
appropriate testing approaches (e.g., sampling methodologies)
- - Execution: performing fieldwork, reviewing relevant
transactions and/or data, evaluating controls and assessing
compliance with rules, regulations and Firm policies and
procedures
- - Workpaper Maintenance: documenting fieldwork, including testing
parameters, activities and findings in the testing work paper
system, in accordance with the Firm's testing standards
- - Reporting: engaging stakeholders on findings, preparing test
reports, and -collaborating on corrective action plans
- -Closure Verification: confirming and tracking remedial action
plans to completion and re-testing the relevant processes, where
needed Qualifications - Series 7, other securities or futures
licenses, or audit certifications a plus
- - Experience with the regulators governing financial institutions
a plus, those may include the FRB, FINRA, OCC, CFPB, FDIC, SEC,
CFTC and the FFIEC
- - Investigative skills - inquiry and analysis, interviewing,
testing, risk assessment capabilities
- - Ability to research and resolve issues independently while
working across teams to acquire information
- - Compliance/Audit/Risk experience in the financial services
industry, a regulator, or a -self-regulatory organization is a
strong plus
- - Experience in a managerial role
- - Strong verbal and written communication skills
- - Role allows option of working in office and from home on a set
schedule (amount of flexibility to be defined by hiring manager and
business unit)
- -In line with Company expectations, minimum in office requirement
is 3 days. Morgan Stanley's goal is to build and maintain a
workforce that is diverse in experience and background but uniform
in reflecting our standards of integrity and excellence.
Consequently, our recruiting efforts reflect our desire to attract
and retain the best and brightest from all talent pools. We want to
be the first choice for prospective employees. It is the policy of
the Firm to ensure equal employment opportunity without
discrimination or harassment on the basis of race, color, religion,
creed, age, sex, sex stereotype, gender, gender identity or
expression, transgender, sexual orientation, national origin,
citizenship, disability, marital and civil partnership/union
status, pregnancy, veteran or military service status, genetic
information, or any other characteristic protected by law. Morgan
Stanley is an equal opportunity employer committed to diversifying
its workforce (M/F/Disability/Vet).
Keywords: Morgan Stanley, Alpharetta , HYBRID: Compliance Testing Vice President, Executive , Alpharetta, Georgia
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