Director - Technology Risk Testing (Legal and Compliance)

Profile Description

We're seeking someone to join our team as a Director Technology Testing Specialist. 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 Division

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.

At Morgan Stanley India, we support the Firm’s global businesses, with critical presence across Institutional Securities, Wealth Management, and Investment management, as well as in the Firm’s infrastructure functions of Technology, Operations, Finance, Risk Management, Legal and Corporate & Enterprise Services. Morgan Stanley has been rooted in India since 1993, with campuses in both Mumbai and Bengaluru. We empower our multi-faceted and talented teams to advance their careers and make a global impact on the business. For those who show passion and grit in their work, there’s ample opportunity to move across the businesses for those who show passion and grit in their work.

Interested in joining a team that’s eager to create, innovate and make an impact on the world? Read on…

What you'll do in the role:

• Execute and document test activities in test workpapers. Test activities may include process deep dives, control design reviews, control effectiveness tests, or outcome-based tests.
• Attend engagement kickoff 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.
• 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 Risk testing reviews
• Remain current on industry rules, regulations, and best practices to make recommendations to the testing program.

What you'll bring to the role:

• 8+ years audit/risk/compliance experience in the financial services industry, a regulator, or a self-regulatory organization.
• Experience in executing/conducting Technology reviews.
• Knowledge of global regulatory requirements like GLBA, GDPR, Part 30 Information Security, NYDFS etc. and technology control standards like NIST, FFIEC, COBIT, CIS etc.
• Strong analytical, organizational, and problem-solving skills.
• Investigative skills – inquiry and analysis, interviewing, testing, risk assessment capabilities
• Ability to prioritize and work effectively on multiple reviews with different individuals at the same time.
• Ability to work independently, as well, as in a team.
• Ability to work with staff of all levels across departments.
• Must have excellent written and oral communication skills.
• High degree of organization and attention to detail.
• Proficiency with Microsoft Word, Excel, PowerPoint, Adobe, SharePoint, Bloomberg
• Chartered Accountant (CA) or Certified Internal Auditor (CIA) or Certified Information Systems Auditor (CISA) or Certified in Risk and Information Systems Control (CRISC) designations are highly desirable.
• BA/BS required with a concentration in Computer Science or Information Technology or Cyber Security
• Other relevant industry certification in the Technology field (e.g. CISSP, cloud certifications, etc.) are a plus

  Coverage

• Monday to Friday from 11:30 AM to 8:30 PM.
• Coverage is dependent on business needs so flexibility on required finish time or full day’s coverage may be required during some Indian holidays.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.