Company Profile Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
Morgan Stanley Wealth Management is one of the largest retail broker-dealers and serves the needs of individuals and small and mid-sized institutional clients through a network of approximately 16,000 financial advisors located throughout the U.S.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture
Execute risk-based compliance testing and forensic testing to review and assess the effectiveness of the Firm's policies and procedures in compliance with Rules 38a-1 and 206(4)-7, including recommending corrective action plans for gaps identified from testing. -Prepare written reports describing the tests conducted, results and corrective action plans. -Coordinate with Investment Management testing personnel globally to track the progress of the test plan for reporting to the CCO, senior management and registered mutual funds' Board. -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 compliance testing. -Remain current on industry rules, regulations and best practices to make recommendations to the testing program. -Assist in coordinating the compliance component of the SSAE 16 review and other internal/external audits/reviews.
- BA/BS required with a concentration in Accounting or Finance a plus. -4+ years of experience in a similar role in asset management. Experience working with medium to large sized asset management firms with diverse business lines is preferred. -Testing, surveillance, operational risk or auditing experience. -Strong understanding of the Investment Advisers Act of 1940, the Investment Company Act of 1940 and applicable securities laws, FINRA and Department of Labor's ERISA regulations. -Strong analytical, organizational and problem solving skills. -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, and ability to quickly learn automated systems, such as trade order management systems, portfolio accounting systems, pre/post trade surveillance systems and web applications.
Internal Number: 5599133
About Morgan Stanley USA
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