VP, AI-Driven Compliance Testing & Controls

474 MS Services Group, Inc.; Dallas (TX); On-site; USD 110,000 - 163,000; Full time

Job summary

Morgan Stanley in Dallas is seeking a Vice President of Compliance Testing to plan, execute and lead regulatory reviews across multiple divisions, ensuring adherence to laws, rules and firm policies. The role emphasizes developing testing programs, applying data analytics and AI, and coordinating with business units across regions.

The position requires 5+ years of compliance experience at the director/VP level, with strong communication and product knowledge.

Qualifications

• 5+ years of compliance experience in the financial services industry, a regulator, a self-regulatory organization, compliance testing or internal audit, at director or VP level.
• 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.
• Knowledge of risk and control in the financial industry and how to design and execute tests, with demonstrated experience leading reviews.
• Excellent time management and attention to detail; ability to meet tight deadlines.
• Ability to facilitate meetings among stakeholders with diverse viewpoints.
• Experience with analytical, artificial intelligence and technology tools for Compliance testing.

Responsibilities

• Conduct and, depending on experience, manage compliance tests including information gathering sessions with Business Unit personnel.
• Lead or participate in walkthroughs, perform substantive on-site testing, summarize results, prepare workpapers and test reports.
• Plan and execute regulatory and compliance-based reviews for various departments (IED, FID, Commodities, Futures, Prime Brokerage, IB, Research, Operations).
• Incorporate data analytics and AI into the testing program to enhance controls assessment.

Skills

Regulatory compliance

Communication

Product knowledge

Leadership

Data analytics

AI/tools

Series 7 license

Education

Bachelor's degree in Business, Finance, Accounting, Law, Risk Management

Tools

Analytics software

AI tooling

Job description

Morgan Stanley in Dallas is seeking a Vice President of Compliance Testing to plan, execute and lead regulatory reviews across multiple divisions, ensuring adherence to laws, rules and firm policies. The role emphasizes developing testing programs, applying data analytics and AI, and coordinating with business units across regions.

The position requires 5+ years of compliance experience at the director/VP level, with strong communication and product knowledge.