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Information Technology SOX Vice President
Morgan Stanley
New York, NY, United States
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Description
Company Profile
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.
Finance
The Finance Division reports to the Chief Financial Officer and consists of some 3,000 employees worldwide. Finance protects the Morgan Stanley franchise by serving as guardian of the Firms books and records, and by contributing to firm wide risk management and risk reduction. This division maintains relationships with Morgan Stanley's various industry and government regulators, and also serves as the conduit of financial information to the outside investment community. Finance plays a critical role as advisor to Morgan Stanley's various businesses and its senior management team.
Financial Control Group (FCG)
The Financial Control Group (FCG) is responsible for overseeing the accounting and financial and regulatory reporting for the Firm. FCG prepares external financial reports for public filings and regulators.
For internal reporting FCG, along with Financial Planning and Analysis (FPA), summarizes, plans and forecasts the organization's financial position, including income statements, balance sheets, and analyses of future revenues, expenses and earnings. FCG is comprised of Business Unit Controllers, Infrastructure Controllers, Accounting, Regulatory and Reporting groups, and Valuation Review.
Background on the Position
The role will reside within the Finance Division, under the Finance Risk and Information Security and Control group (FinRISC) function and reporting to the Executive Director leading the overall Morgan Stanley SOX Program. The Information Technology (IT) SOX Officer oversees all aspects of the Morgan Stanley IT SOX testing program, globally. The global testing program evaluates in-scope central components and applications against IT General Controls (ITGCs). This second line function scopes central components and applications covering internal controls over financial reporting (consolidated 10K and Banks), Broker Dealer compliance processes, India SOX and Regulatory Reporting processes covering CCAR.
This candidate will be exposed to senior IT, Internal Audit and Finance management in addition to senior external audit teams.
This dynamic position offers the candidate an exceptional opportunity to lead the enhancement of the current IT SOX program as we look to introduce automation/robotics into aspects of the testing framework and further advance the integration with other Business side testing programs (including, but not limited to SOX, FDICIA and Broker Dealer testing). Position will provide management oversight of FTE and/or contingent staff.
We are looking for a strong and seasoned Vice President. Prior technology, governance and technology assessment experience would be a strong plus. The applicant should be interested in process oversight and management, as well as possess the technical aptitude to perform in-depth analysis. Work history should demonstrate strong attention to detail, execution and project management skills, the ability to influence and coordinate within cross-functional teams and manage multiple projects.
Primary Responsibilities will include (but are not limited to):
• Lead all aspects of the IT SOX testing program, inclusive of annual scoping, testing oversight and evolution of current testing approach
• Manage and participate in walkthroughs, ensuring coordination between external/internal audit and IT SOX team
• Oversee and review the preparation of test plans and work papers in the central work paper repository
• Coordinate issue documentation and resolution with stakeholders
• Analyze Internal Audit issues for ITGC impacts to in scope central components/applications
• Lead the quarterly 302 and annual 404 certification process for IT, inclusive of issue analysis, remediation reviews, senior management reporting and coordination with TIR and Legal
• Lead self-assessment training for ITROs, ITSOs, PAGs and CIOs
• Manage central component and application re-scoping based on results of business process walkthroughs and self-assessment results
• Lead the annual TAI refresh for Finance owned applications to ensure accuracy to data and compliance to policies
• Key management contact with external audit to ensure clear communication regarding reviews and to minimize impacts to MS stakeholders in regards to testing support
• Participate and lead various meeting and committees associated with the SOX program
• Lead the integration of the new self-assessment module in the Archer platform
Qualifications
Skills Required (essential):
• Detail oriented with exceptional organizational skills
• Ability to work effectively on multiple projects under tight deadlines
• Advanced working knowledge of MS Excel, PowerPoint, Word, and SharePoint
• Superior analytical thinking and problem solving abilities
• Excellent verbal and written communication skills, with the ability to communicate with key stakeholders and Senior Management
• Intellectual curiosity with a focus on information sharing and keeping up with industry standards/developments
• Leadership and strong relationship building skills
• Self-motivator and team player who brings a can-do approach