Division: Legal & Compliance Job Title: Compliance Tester Location: Mumbai (NKP) Job Level: Analyst Company Profile 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. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. 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. Department Profile Legal and Compliance Legal & Compliance Division (LCD) comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations. The Legal Department provides guidance, requirements, and procedures for understanding and complying with the laws, regulations and Firm policies that apply to our businesses. The Global Compliance Department identifies applicable Compliance Obligations and maintains a Firmwide Compliance Risk management program, including Compliance Risks that transcend business lines, legal entities and jurisdictions of operation. Global Financial Crimes is responsible for the development and governance of the Firm's financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti-Money Laundering (AML), Sanctions, Anti-boycott, Anti-Corruption (ACG), Government, and Political Activities Compliance (GPAC) programs. The Global Regulatory Relations Group (GRRG) is responsible for strategic and centralized management of the supervisory activities of Morgan Stanley's regulators and related developments globally, with a focus on regulatory reviews and examinations and continuous monitoring activities. GRRG serves as the central point of contact for the regulatory staff responsible for supervisory activities at Morgan Stanley entities and for timely reporting to Firm management and other governance or management bodies, as appropriate, on those relationships and supervisory processes, including areas of significant regulatory focus or concern. LCD Center of Excellence - Mumbai (LCD CoE) is a part of Morgan Stanley's Global In-house Center, which provides global support to LCD and is an integral part of Firm and LCD strategy Background on the Team The successful candidate will support executing in-depth tests on topics assigned by ISG Americas Compliance 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. Primary Responsibilities Support execution of 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. Support 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. Help in preparation of written reports describing the tests conducted, results and corrective action plans. 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 opportunities to leverage their reviews for compliance testing. Remain current on industry rules, regulations, and best practices to make recommendations to the testing program.
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