Profile Description

We're seeking someone to join our team as a Director in the Compliance audit team specifically providing coverage for core regulatory Compliance space.

Internal Audit

The Internal Audit Department (IAD) reports directly to the Board Audit Committee, and is an objective and independent function within Morgan Stanley’s risk management framework. IAD assists senior management and the Audit Committee of the Board (BAC) in the effective discharge of their legal, fiduciary and oversight responsibilities. Comprises over 400 employees globally. IAD is responsible for providing independent assurance on the quality and effectiveness of Morgan Stanley’s system of internal control, including risk management and governance systems and processes. IAD also serves as an objective and independent function within the Firm’s risk management framework to foster continual improvement of risk management processes by identifying and assessing operating risks, and evaluating the adequacy and effectiveness of the Firm’s related internal controls. Based on these activities, IAD develops an independent and informed view of the risks faced by Morgan Stanley and the effectiveness of the risk management processes employed to manage them. In doing so, we help drive Firm resources to vulnerabilities.

Business Audit

This is a Director position within Business Audit, which is responsible for inspecting controls in front, middle and back offices.

Morgan Stanley is an industry leader in financial services, known for mobilizing capital to help governments, corporations, institutions, and individuals around the world achieve their financial goals.

At Morgan Stanley India, we support the Firm’s global businesses, with critical presence across Institutional Securities, Wealth Management, and Investment management, as well as in the Firm’s infrastructure functions of Technology, Operations, Finance, Risk Management, Legal and Corporate & Enterprise Services. Morgan Stanley has been rooted in India since 1993, with campuses in both Mumbai and Bengaluru. We empower our multi-faceted and talented teams to advance their careers and make a global impact on the business. For those who show passion and grit in their work, there’s ample opportunity to move across the businesses for those who show passion and grit in their work.

Interested in joining a team that’s eager to create, innovate and make an impact on the world? Read on…

What you’ll do in the role:

• Help identify risk and impact to the Regulatory Compliance area within the Compliance division to prioritize areas of focus.
• Execute and lead aspects of assurance activities (e.g., audits, continuous monitoring, closure verification) to assess risk and formulate a view on the control environment.
• Facilitate conversations with stakeholders on risks, their impact and how well they are managed in a clear, timely and structured manner.
• Assist in managing multiple deliverables in line with team priorities
• Solicit and provide feedback and participate in formal and on-the-job training to further develop self and peers

What you’ll bring to the role:

•At least 4 years' relevant experience would generally be expected to find the skills required for this role.
•Understanding of business line and key regulations relevant to Global Financial Crimes, including KYC process
•Strong understanding of audit principles, methodology, tools and processes (e.g., risk assessments, planning, testing, reporting and continuous monitoring)
•Ability to identify and analyze multiple data sources to inform point of view
•Ability to ask meaningful questions, understand various viewpoints and adapt messaging accordingly.
•A commitment to practicing inclusive behaviours
•Strong verbal and written communication skills.

What you can expect from Morgan Stanley

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. Our Firm is differentiated by the caliber of our diverse team, while our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.