Wealth Management - Compliance Tester, Director, Oversight, Monitoring and Testing
MumbaiFull-time5–9 yrsPosted over a month ago
Senior finance role at Morgan Stanley in Mumbai. Needs 5+ years and a CA.
About the role
We're seeking someone to join our team as an Director in the Legal and Compliance division. In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk.
What you'll do
- Responsible for executing risk-based compliance reviews across Wealth Management businesses, including E*TRADE
- Assisting in the preparation of test planning memoranda
- Identifying and evaluating key risks and contribute to establishing test scope
- Developing and executing tests in line with global monitoring and testing standards
- Leading walkthrough meetings and discussions with the purpose of developing test scope and identifying control issues
What you need
- Wealth management
- Compliance
- Internal controls
- Reporting
- Excel
- Investment banking
Good to have
- Risk management
- Audit
- PowerPoint