ISG Americas Compliance Testing, Director, Oversight, Monitoring and Testing
Morgan Stanley (company site, opens in a new tab)5+ yrsMumbaiOn-siteDirect career pageEst. 30–55 LPA
Posted on 22 Sept
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Job description
Structured overview of role & requirements
About 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.