(AVP equivalent)

Internal Audit Compliance Risk Director(AVP equivalent)

Glasgow

JR037292

Were seeking someone to join our team as a Director based in Glasgow in the Global Compliance audit team providing coverage of Compliance/second line controls tested as part of the firms Central Compliance Functions or Business Unit audits (for Morgan Stanleys Institutional Wealth or Investment Management businesses).

This role will ultimately report to the Internal Audit Global Head of Compliance Risk and supports both execution and project management of audits closure verification and continuous monitoring activities.

The Internal Audit Division (IAD) drives attention and resources to vulnerabilities by providing an independent and well-informed view and impactful messages about the most important risks facing our Firm. This is accomplished by performing a range of assurance activities to independently assess the quality and effectiveness of Morgan Stanleys system of internal control including risk management and governance systems and processes. IAD serves as an objective and independent function within the Firms risk management framework to foster continual improvement of risk management processes. This is a Director within Business Audit which is responsible for inspecting controls in the front middle and back offices.

At Morgan Stanley Glasgow we support the Firms global Operations Technology Finance Corporate and Institutional Securities divisions. Known for its excellence in process client service & leadership our Glasgow teams have led us to win numerous innovation and people awards. Morgan Stanley has been rooted in the Glasgow community since 2000 steadily contributing to the development of a vibrant local financial services and fintech industry.

Since 1935 Morgan Stanley is known as a global leader in financial services always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

What youll do in the role:

• Help identify risk and impact to relevant coverage area to prioritize areas of focus
• Participate in all stages of an audit through execution of planning fieldwork and reporting related work (including walkthroughs testing issue and report writing project management etc.)
• Partner with global peers to execute and lead aspects of Compliance Risk assurance activities (e.g. audits continuous monitoring closure verification) to assess risk and formulate a view on the control environment
• Facilitate conversations with stakeholders on risks their impact and how well they are managed in a clear timely and structured manner
• Assist in managing multiple deliverables in line with team priorities
• Solicit and provide feedback and participate in formal and on-the-job training to further develop self and peers
• Support the ongoing monitoring of Compliance Risk Key Risk indicators and Compliance Risk related issues engaging with management within the coverage area and Internal Audit stakeholders as needed
• Assist with the development of Audit Risk Assessments with the Global Compliance Risk Audit team to inform the audit planning.

What youll bring to the role:

• At least 4 years relevant experience would generally be expected to find the skills required for this role; Compliance Risk or Testing experience with a financial services firm preferred
• Understanding of business line and key regulations relevant to coverage area
• Strong understanding of audit principles methodology tools and processes (e.g. risk assessments planning testing reporting and continuous monitoring)
• Ability to identify and analyze multiple data sources to inform point of view
• Ability to ask meaningful questions understand various viewpoints and adapt messaging accordingly
• Strong verbal/written communication and interpersonal skills.
• A commitment to practicing inclusive behaviors
• Strong data analytics skills including advanced use of Excel
• Experience presenting to senior management and managing multiple deliverables while producing high-quality work.
• An undergraduate degree in business including Finance Accounting Economics Risk Management or equivalent preferred
• Relevant certifications (e.g. CIA FRM CRMA) preferred
• Strong technical understanding of Regulatory compliance and regulatory expectations

Unfortunately were unable to provide visa sponsorship for this role. We would only be able to offer you this role if you can demonstrate proof of Right to Work in the UK.

#LI-CM1 #LI-Hhybrid #GLAUD

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley we raise manage and allocate capital for our clients helping them reach their goals. We do it in a way thats differentiated and weve done that for 90 years. Our values - putting clients first doing the right thing leading with exceptional ideas committing to diversity and inclusion and giving back - arent just beliefs they guide the decisions we make every day to do whats best for our clients communities and more than 80000 employees in 1200 offices across 42 countries. At Morgan Stanley youll 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. Theres also ample opportunity to move about the business for those who show passion and grit in their work.

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Certified Persons Regulatory Requirements:
If this role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.

Flexible work statement
Interested in flexible working opportunities Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion where individuals are hired developed and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate bringing a variety of backgrounds talents perspectives and experiences.

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