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. This is an Director level position within the Oversight, Monitoring and Testing.

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

What you'll do in the role:

• The candidate will have several areas of responsibility including, but not limited to, the following:

• Assisting in the preparation of test planning memoranda

• Execution of reviews from initiation to completion include 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.

• 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

• Maintaining detailed and organized documentation of work product

• Appropriately assessing potential findings for significance and root cause

• Conducting tests related to transactions and other documentation for compliance with the relevant regulations and policies/rules

• Drafting test reports; writing clear and concise findings

• Communicating test findings to MSWM Testing Management and clients; assist with negotiating and finalization of findings and corrective action plans with senior client management

• Tracking implementation of recommended corrective action plans designed to strengthen internal controls to completion

• Performing validation testing of new or updated controls

• Developing and maintaining strong working relationships with Business, Compliance, Legal and Risk groups

What you'll bring to the role:

• Typically, 5+ years’ relevant experience would generally be expected to find the skills required for this role

• Compliance Testing experience a plus

• FINRA licenses are highly preferred

• Bachelor's Degree or higher required

• Ability to interact with diverse teams

• Proficient in Microsoft Office (Excel, Word, PowerPoint)

• Strong interpersonal, communication, analytical, research, and organizational skills

• Ability to work and make independent decisions associated with Compliance testing protocols

• Excellent communication skills - written and oral.

• Experience Compliance Testing or Internal Audits

• Excellent time management skills, attention to detail and ability to execute tasks within tight deadlines

• Has the ability to perform data analysis

• Enthusiastic, self-motivated individual

Skills desired

• Has the ability to effectively handle a fast-paced environment and successfully meet established deadline requirements

• Ability to research and resolve issues independently while working across teams to acquire information

• Proficient in Microsoft Office (Excel, PowerPoint, Word)

• Analytical and research skills

• Be self-motivated and must have the ability to work independently

• Knowledge of global markets / market regulations / investment banking functions

• Series 7 license (General Securities Representative Exam

• FINRA)

• Industry qualifications

• CA / CPA / CIA or similar certification

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. 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. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize 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.