Senior VP, Compliance Testing & Controls

Morgan-Stanley

Dallas (TX)

On-site

USD 110,000 - 163,000

Full time

6 days ago

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Job summary

Morgan Stanley is seeking a Vice President Compliance Testing to design and execute regulatory and compliance-based reviews across Institutional Equities, Fixed Income, Commodities, Prime Brokerage, Investment Banking, Research and Operations. You will lead testing efforts, obtain management buy-in, and drive remediation of findings using advanced data analytics and AI tools.

The role emphasizes testing design, on-site execution, and cross-regional collaboration within the Non-Financial Risk

Qualifications

5+ years of compliance experience in the financial services industry.
Bachelor’s Degree in Business, Finance, Accounting, Law, Risk Management and/or a similar area of study.
Excellent verbal and written communication.
Strong understanding of institutional financial products, sales, trading, and systems.
Experience leading reviews at VP level.
Series 7, other securities or futures licenses, or audit certifications (CIA, CA, CISA) a plus.

Responsibilities

Conduct and manage compliance tests across ISG and NFR teams, including information gathering with business personnel.
Lead walkthroughs, perform on-site testing, summarize results, and prepare reports and findings.
Plan, prepare, and execute regulatory and compliance-based reviews for ISG divisions.
Collaborate with stakeholders across regions and business units and track findings to resolution.
Apply data analytics and AI techniques to enhance testing programs.