Department Profile
Professionals within the Legal and Compliance Division (LCD) provide a wide range of services to our business units. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.
Position Description:
As a member of the Quality Assurance team in LCD, the Analyst will perform their duties independently, objectively, and as an integral part of the team to support our overall oversight efforts. This position will report to the Budapest Quality Assurance Lead and will conduct reviews and analyses over the global LCD testing teams to ensure consistency of approach, adequacy of testing documentation, and overall compliance with Global Testing Standards.
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Primary Responsibilities
- Perform quality assurance reviews, focusing on activities including: individual test planning, execution/fieldwork, individual test reporting, and issues and actions identified through Testing, including Closure Verification
- Based upon results of QA reviews, provide recommendations to management on process adjustments as well as conduct training on lessons learned and best practices, as applicable
- Develop good working relationships with other LCD teams
- Generate periodic reporting on the results of the QA program, including trend analysis
- Implement automation and efficiency initiatives within the QA program
Skills Required:
- Undergraduate degree required
- 3+ years' experience in Internal Audit, External Audit or Compliance Testing related fields within a global organization (over areas such as: 1st Line of Defense business units, Financial Crimes, Operational Risk, and / or Technology Risk), including relevant experience planning and executing QA or Quality Control reviews in accordance with professional standards
- Detail oriented with strong written and verbal communication skills
- Possess professional maturity and confidence in communicating results with staff and peers
- Ability to handle large workload with strong organizational and planning skills
- Knowledge of Regulatory landscape - Operational Risk, Compliance, Financial Crimes, or other areas of financial regulatory requirements and expectations (domestic and international)
- Proficiency in Microsoft products (Word, PowerPoint, and Excel in particular)
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 85 years. At our foundation are five core values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. 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.
We're committed to bringing passion and customer focus to the business.
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 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.