Morgan Stanley 1,468 critiques – New York, NY
Morgan Stanley is a number one international monetary providers agency offering a variety of funding banking, securities, funding management and wealth management providers. The Agency’s staff serve shoppers worldwide together with firms, governments and people from greater than 1,200 workplaces in 43 nations.
As a market chief, the expertise and keenness of our individuals is crucial to our success. Collectively, we share a standard set of values rooted in integrity, excellence and powerful group ethic. Morgan Stanley can present a superior basis for constructing knowledgeable profession – a spot for individuals to study, to realize and develop. A philosophy that balances private life, views and wishes is a vital half of our tradition.
Division Profile
Professionals inside Authorized and Compliance present a variety of providers to our enterprise models. They could assist to construction a posh and delicate cross-border transaction; advise on a brand new product introduction; develop a coaching program or defuse an investor dispute. They protect the agency’s invaluable status for integrity and shield the agency from sanctions with insurance policies and procedures that meet regulatory necessities all over the world. Additionally they attempt to take care of cooperative relationships with governmental coverage makers and the regulatory and self-regulatory businesses that govern the agency’s companies.
Background on the Group
The Investment Management (IM) Compliance Testing perform is chargeable for performing assessments of compliance with regulatory guidelines and Divisional and Agency insurance policies and procedures masking Investment Management companies globally. The IM companies consist of personal and public markets together with equities, fastened revenue, fund of funds, personal fairness and actual belongings.
Background on the Place
The sort of testing carried out consists of check checks, forensic checks and focused critiques. Examples embrace commerce allocation amongst shopper accounts, worker buying and selling, market abuse and valuation of shopper portfolio holdings. Further duties embrace producing management info for Compliance senior management, senior Investment Management enterprise heads and related board conferences (e.g., MS Funds Board) on the general testing program efficiency.
Main Duties
- The event, implementation and execution of the danger-based mostly Compliance testing program designed to evaluate the effectiveness of the Agency’s Investment Management associated insurance policies and procedures and controls
- Handle the execution of critiques carried out by the IM Testing group
- Talk check outcomes, current recognized points to the enterprise, work with the enterprise to develop and implement a plan of corrective motion and put together written studies
- Monitor standing of corrective motion plans
- Keep detailed and arranged documentation of work merchandise
- Assessment work merchandise of IM Testing employees
- Coordinate with different professionals within the group, together with Compliance advisory groups, different Compliance Monitoring and Testing Teams and Inner Audit
- Execute compliance danger evaluation, together with annual planning
- Compile international month-to-month and quarterly metrics for management reporting
- Develop check scripts/library masking key compliance danger in Investment Management
- Assess testing protection/planning based mostly on danger evaluation outcomes
- Stay present on business guidelines, laws and greatest practices to assist be sure that the testing program meets regulatory requirements.
Qualifications Expertise required (important) The perfect candidate will possess the next expertise and attributes: Expertise
- Bachelor’s diploma with a focus in Accounting or Finance most popular
- Have 15 plus years of Compliance testing, inner audit expertise and/or expertise inside a monetary providers regulatory company (e.g., Workplace of the Comptroller of the Foreign money, Federal Reserve)
- Expertise in designing and implementing danger based mostly testing at a big monetary establishments and/or regulatory authority
- In depth expertise in managing and creating employees
Information
- Have in depth information of testing greatest practices and methods
- Possess a robust understanding of monetary markets and banking
- Have working information of the Investment Advisers Act and Investment Firm Act
- Keep consciousness of present legal guidelines, guidelines and laws
Expertise and Qualities
- In-depth information and understanding of the Investment Management regime
- Information of what constitutes an efficient Compliance Framework and market greatest apply
- Developed investigative expertise: inquiry and evaluation, interviewing, testing and group
- Impeccable written communication expertise: capable of describe complicated points precisely and succinctly
- Robust consideration to element
- Potential to analysis and resolve points independently whereas working throughout groups to accumulate info
- Capability to work successfully on a number of evaluations with totally different people on the similar time
- Means to handle a number of priorities and duties with the talents to adapt to modifications in a quick-paced surroundings
- Wonderful time management expertise and skill to execute duties inside tight deadlines
- Wonderful interpersonal expertise essential to work successfully with colleagues of all ranges of seniority throughout areas and enterprise models; capable of query and problem established processes
Expertise desired
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