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Job Location | Japan, Mumbai City |
Education | Not Mentioned |
Salary | Not Disclosed |
Industry | Banking / Financial Services |
Functional Area | General / Other Software |
EmploymentType | Full-time |
*Morgan Stanley is seeking a candidate with 5-7 years of experience to execute audit coverage of the firm s Compliance organization, with a focus on Broker-Dealer compliance.Job Description The Candidate will be involved in the development, planning and/or performing of Compliance audits across the firm with a focus around US regulations and including: Scope determination, development of audit planning memorandums, management and/or performance of test work and report writing; Executing audits in line with audit test programs and within time budgets and leading certain aspects of audits/reviews; Ensure execution of the audit plan within departmental methodology, policies and standards; Participate in the preparation of updates to the Risk Assessments;, * Bachelor s Degree in Business, Finance, Accounting Certified Internal Auditors from IIA or Chartered Accountant from ICAI MBA or Post Graduate degree is preferred. Prior regulatory experience or experience communicating with regulators a plusRequired Knowledge & Skills Five to Seven years of audit or compliance experience with a financial services firm with a focus on regulatory compliance. Working knowledge of the financial services regulatory environment with an emphasis on Compliance activities and broker/dealer rules and regulations Strong communication, interpersonal skills and team skills; Proficient understanding of the internal audit process; Proven ability to collaborate within a team structure; Proven ability to learn quickly and think critically; Strong written and verbal communication skills; Proven ability to work on multiple assignments, while meeting deadlines; Able to work independently with multi-tasking
Keyskills :
team skillsmusic makinginternal auditreport writingaudit planningfinancial servicescommunication skillsinterpersonal skills