ISG Americas Compliance Testing, Director, Oversight, Monitoring and Testing
Morgan StanleyMatch Score
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Protocol Intelligence
Data-driven signals on your job's competitivenessTier-1 brand and metro location increase competition, though specialized compliance testing narrows applicant pool.
Role requires industry-specific regulatory and audit knowledge, limiting cross-industry transferability.
Director-level regulatory testing requires specific compliance experience and preferred certifications, tightening candidate filters.
Job Description
Structured overview of role & requirementsAbout This Role
Plan and execute risk-based compliance testing programs for ISG Americas to assess effectiveness of Firm policies and procedures.
Manage testing lifecycle including process walkthroughs, control identification, testing execution, issue reporting, and monitoring corrective actions.
Collaborate with global compliance teams and internal audit to leverage reviews, track progress, and report findings to senior management.
Minimum Requirements
5+ years relevant experience with medium to large investment management firms, preferably with diverse business lines.
Experience in testing, surveillance, or auditing preferred; audit experience of stock broking firms is a plus.
Proficiency with Microsoft Office suite and ability to learn automated trading and surveillance systems.
Industry qualifications such as CA, CIA, or similar certification preferred; ability to work Monday to Friday 11:30 PM to 8:30 PM IST with flexibility for some holidays.
Ideal Candidate Profile
Experienced compliance professional skilled in executing detailed, risk-based testing programs independently and collaboratively across global teams.
Strong analytical and organizational capability to manage multiple concurrent reviews and drive remediation efforts.
Comfortable navigating complex regulatory environments in global markets with practical knowledge of market regulations and compliance frameworks.