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Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. Position Description Professionals within Bank Compliance Testing Team perform targeted bank regulatory and internal control tests in accordance with standard second line Compliance testing practices. They preserve the firm's invaluable reputation for integrity and protect the firm from potential sanctions on policies, procedures and practices in order to meet regulatory requirements.
· Perform compliance testing with applicable federal banking rules and regulations as well as bank policies and procedures covering banking products. · Escalate and work to close any issues identified · Communicate testing results, present identified issues to the business, work with the business to develop and implement a plan of corrective action, and prepare written reports · Track of the status of the corrective action plans agreed upon with the business · Maintain detailed and organized documentation of work product · Coordinate with other professionals in the organization, including compliance advisory teams, Global Compliance Monitoring and Testing Group and Internal Audit · Remain current on industry rules, regulations, and best practices to help ensure that the testing program meets regulatory standards · Work on special projects and targeted reviews · Document testing results using the workpaper documentation system · Prepare well written reports · Complete reviews on time
Skills Required · Bachelor's Degree · JD, CPA, MBA and/or CRCM certification preferred · 3-7 years of compliance and/or regulatory experience, with knowledge of the financial service industry, regulatory requirements, and experience in analyzing business risk and best practices · Experience with Office of the Comptroller ("OCC"), the Consumer Finance Protection Bureau ("CFPB"), the Federal Deposit Insurance Corporation ("FDIC"), and the Federal Reserve Board ("FRB") regulations, and bank safety and soundness guidance provided by the Federal Financial Institutions Examination Council ("FFIEC") and the federal banking authorities (OCC, CFPB, FDIC, or FRB) including consumer laws and regulations and/or Transactions with Affiliates (Regulation W). Experience with mortgage origination and servicing, retail, and institutional lending businesses · Previous experience with a bank government agency (e.g., OCC, FRB, CFPB, or FDIC) or in a regulatory, compliance, or internal audit capacity within the banking industry · Highly developed investigative skills - inquiry and analysis, interviewing, testing, organization and presentation (both written and verbal) · Ability to handle a fast paced environment with minimum supervision and successfully meet established deadline requirements · Excellent communication (oral and written), interpersonal and PC skills · Familiarity with workpaper automation a plus (OpenPages)
Internal Number: 5871822
About Morgan Stanley USA
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