Global Compliance Testing and Governance - Experience Tester

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Morgan Stanley USA
  • 19 Oct 18

Global Compliance Testing and Governance - Experience Tester

Background on the Team
Global Compliance Testing and Governance (GCT&G) is responsible for governance and oversight of compliance testing activities and the establishment of firm-wide minimum compliance testing standards. GCT&G is also responsible for developing and executing a risk-based test plan, including tests of enterprise-wide compliance controls and periodic assessments of Compliance testing programs. The group often plays an advisory role and produces key reports/metrics and training on testing standards and best practices.

Position Description
The successful candidate will be part of the GCT&G team based in New York. He/she will report to Global testing head and execute enterprise-wide reviews. Responsibilities include the following:

• Work effectively with Compliance testers and management across different time-zones and regions and demonstrate strong ability to multitask
• Conduct information gathering sessions with business and or control function senior management and support staff
• Develop and execute risk-based testing programs covering key risks, controls, processes, and specific test steps for each area of review
• Develop risk-based scenarios in test scoping and leveraging data analytics as appropriate
• Communicate and escalate test results, including issues and approved action plans to Compliance management and the business and or control function being tested
• Develop regional and global testing programs across different business silos in accordance with established standards, demonstrating the ability to work independently from start to completion.
• Partner with the Quantitative Data Analytics team in Compliance to identify opportunities to evolve testing through data-driven techniques or automation
• Advance documentation standards for use of data analytics in testing
• Prepare test reports for completed reviews in line with the testing standards (e.g., reconcile to test work performed)
• Review test work papers and test reports completed by junior staff to ensure conclusions, issues, action plans, and work paper documentation are accurate, complete, and consistent with Firm testing standards
• Maintain awareness of current industry rules, regulations and best practices to ensure that the testing program meets regulatory standards


Required Experience and Attributes
• More than seven years of relevant experience in testing and a strong understanding of financial markets and banking
• Awareness of current laws, rules, and regulations
• Strong client-relations skills and ability to partner with business and control functions to develop practical business solutions that comply with applicable laws and regulations
• Capable of researching and resolving issues independently
• Facility with various PC, MS Office and internet applications
• Strong analytical thinking and critical reasoning skills
• Ability to thrive in a fast-paced environment and successfully meet deadlines
• Self-motivated, independent, effective time manager
• Strong inter-personal, verbal, and written communications skills; capacity to convey a confident, professional, and positive attitude.
• Creative and intuitive
• Consistently complete work on time without compromising quality
• Hold self and others accountable for demonstrating the highest ethical standards.
• Dedicated to continuous learning and development of one's own skills, including technical, business, inter-personal, written, and informal verbal communication.
• Set and measure performance of annual personal and professional goals

Desired Skills
• Testing experience plus accounting or professional audit qualifications (CPA/CA, CIA, CISA).
• Knowledge of data analytics, manipulation techniques and hands-on experience working with large volumes of data.
• Financial services experience strongly preferred