09 Jan 2025
Rjij
Legal and Compliance, 6 to 10 years in Mumbai
Morgan Stanley
Mumbai
8-10 Years
Order Management, Legal, Test Planning, Risk Managment, Information Technology Training, Financial Services
Job Description
Position: Legal and Compliance
Qualification: CS,LLB
Experience: 6 to 10 years
Location: Mumbai
Job description
Qualification: CS,LLB
Experience: 6 to 10 years
Location: Mumbai
Job description
Profile Description
We re seeking someone to join our team as a Were seeking someone to join our team as a Director in Global Compliance team, The successful candidate will plan and execute full-scope and other tests on engagements assigned by Technology Risk Testing. The Technology Risk Testing team is part of the broader Global 2LOD Non-Financial Risk Testing organization. The team plans and executes the Technology Risk annual testing plan.
Legal and Compliance
In the Legal & Compliance division, we protect the Firm s business by identifying risks and designing programs and policies that guide internal teams on ways to address or mitigate those outcomes
Company Profile
Morgan Stanley is an industry leader in financial services, known for mobilizing capital to help governments, corporations, institutions, and individuals around the world achieve their financial goals.
What you ll do in the role:
Attend engagement kick-off meetings.
Interview stakeholders, request and review pertinent policies, standards, procedures, KRI metrics, and other documents, walk through relevant processes and control environments.
Determine and propose appropriate test activities and develop engagement scope memos.
Develop test scripts and recipe cards.
Request and validate receipt of relevant data and samples for testing
Execute and document test activities in test workpapers. Test activities may include process deep dives, control design reviews, control effectiveness tests, or outcomes-based tests.
Identify and escalate potential test findings.
Propose action plans and remediation requirements.
Prepare test reports
Coordinate with Technology Risk testing personnel globally to track the progress of the test plan for reporting to senior management.
Track status of corrective action plans agreed upon with the business
Track internal audit reviews and findings and review internal audit work-papers to identify opportunities to leverage their reviews for Technology Operational Risk testing reviews.
Remain current on industry rules, regulations, and best practices to make recommendations to the testing program.
Interview stakeholders, request and review pertinent policies, standards, procedures, KRI metrics, and other documents, walk through relevant processes and control environments.
Determine and propose appropriate test activities and develop engagement scope memos.
Develop test scripts and recipe cards.
Request and validate receipt of relevant data and samples for testing
Execute and document test activities in test workpapers. Test activities may include process deep dives, control design reviews, control effectiveness tests, or outcomes-based tests.
Identify and escalate potential test findings.
Propose action plans and remediation requirements.
Prepare test reports
Coordinate with Technology Risk testing personnel globally to track the progress of the test plan for reporting to senior management.
Track status of corrective action plans agreed upon with the business
Track internal audit reviews and findings and review internal audit work-papers to identify opportunities to leverage their reviews for Technology Operational Risk testing reviews.
Remain current on industry rules, regulations, and best practices to make recommendations to the testing program.