Wealth Management - Compliance Tester, Director, Oversight, Monitoring and Testing
Morgan Stanley (company site, opens in a new tab)5+ yrsMumbaiOn-siteDirect career pageEst. 30–50 LPA
Posted on 16 Sept
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Job description
Structured overview of role & requirements
About This Role
- Lead and execute risk-based compliance reviews across Wealth Management businesses including E*TRADE, overseeing end-to-end testing and reporting.
- Develop test plans, conduct detailed walkthroughs of control processes, evaluate risks, and draft clear findings and test reports for senior management.
- Track and validate corrective action plans to ensure remediation of identified compliance issues and maintain relationships with Business, Compliance, Legal, and Risk teams.
Minimum Requirements
- Minimum 5+ years' experience in a financial institution or consulting firm, preferably in compliance, risk management, or audit.
- Bachelor's Degree or higher required.
- Must be proficient in Microsoft Office (Excel, Word, PowerPoint) and have ability to perform data analysis.
- Coverage requirement Monday to Friday 11:30 AM to 8:30 PM India time, with flexibility during some Indian holidays.
Ideal Candidate Profile
- Experienced in compliance testing with strong skills in risk identification and testing protocol development within financial services.
- Able to lead detailed control walkthroughs, assess issues for root causes, and communicate findings effectively to senior management.
- Comfortable working independently with strong organizational skills and the ability to handle fast-paced, deadline-driven environments.