VP, Compliance Testing: Elevate Controls & Analytics

Morgan Stanley

Dallas (TX)

On-site

USD 110,000 - 163,000

Full time

6 days ago

Be an early applicant

Get a reply from this employer

Your resume and cover letter, tailored to exactly what they’re hiring for.

Get past ATS filters

Job summary

Morgan Stanley is seeking a Vice President Compliance Testing to plan, prepare, and execute regulatory reviews across ISG, IED, FID, Commodities, Prime Brokerage, Investment Banking, Research, and Operations. The role emphasizes strong data analytics and AI usage, and requires leadership in testing teams within a four-day-in-office environment in Dallas.

The position targets professionals with 5+ years in financial services compliance, with a Bachelor’s degree and relevant licenses.

Qualifications

Bachelor’s degree in Business, Finance, Accounting, Law, Risk Management or related field.
At least 5+ years of compliance experience in financial services such as regulators, SROs, compliance testing or internal audit.
Strong verbal and written communication, knowledge of institutional financial products and controls.

Responsibilities

Conduct and/or manage compliance tests with business unit personnel across ISG/IED/FID/expanded divisions.
Lead walkthroughs, perform on-site testing, summarize results, and draft test reports with findings for management.
Plan, prepare, and execute regulatory and compliance-based reviews across multiple divisions including Sales & Trading, Investment Banking, Research and Operations.
Incorporate data analytics and AI into testing programs to enhance effectiveness and efficiency.