Information Technology SOX Associate Information Technology SOX Associate …

Morgan Stanley
in Glasgow, Scotland, United Kingdom
Permanent, Full time
Be the first to apply
Morgan Stanley
in Glasgow, Scotland, United Kingdom
Permanent, Full time
Be the first to apply
See job description for details

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.

Glasgow Profile:

Morgan Stanley’s Glasgow office employs in excess of 1,500 staff across Operations, Technology, Legal and Compliance, Internal Audit, Fund Services and Finance. Due to our growing business, we have a demand for career minded people to join our teams. Our opportunities offer unrivalled scope for progression and training within a fast paced, meritocratic and constantly changing environment. Morgan Stanley pride themselves on maintaining a culture which champions diversity, an inclusive environment for all, recognition and an opportunity to give back to our communities through various local charity partnerships. The office is located centrally and enjoys the additional benefits of an onsite gym and restaurant.

Department Profile:

The Glasgow Finance team is over 220 strong and spans a wide range of functions including: Product Control; Market Risk Control; Liquidity Control; Treasury Currency Management; Compensation Control; Tax; Legal Entity Control and Governance; Accounting Advisory Services; General Ledger Governance; Regulatory Reporting and Finance Risk. The variety and scope of our opportunities across all levels allows our employees to enjoy fulfilling and challenging long-term careers. In order to maintain this we require finance professionals of all levels, both qualified and non-qualified, who are committed to working in a challenging and ever evolving industry. For non-qualified candidates we actively support a number of professional qualifications.

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.

Team Profile:

The Global Corporate Controllers (GCC) 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 GCC, 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. GCC is comprised of Business Unit Controllers, Infrastructure Controllers, Accounting, Regulatory and Reporting groups, and Valuation Review.

The role will reside within the Finance Division, under the Finance Risk and Assurance function and reporting to the Director of IT SOX. The role will support 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 assist the enhancement of the current IT SOX program as we look to introduce automation/robotics and data analytics 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).

We are looking for a strong and experienced IT risk and control professional. The candidate’s prior technology experience must include the ability to identify and assess the risks and controls within distributed and mainframe environments. Experience in General Computer Controls reviews is a must. The applicant should be interested in validation and testing, 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, coordinate and partner within cross-functional teams while performing detailed walkthroughs and testing.

Primary Responsibilities:

- Partnering with key stakeholders to perform key tasks

- Supporting other team members by being a part of integrated reviews.

- Execute and assist with the enhancement of the IT SOX testing program, inclusive of annual scoping, testing and evolution of current testing approach

- Assist in walkthroughs.

- Assist with the development, implementation and administration of test plans.

- Coordinate issue documentation and resolution with stakeholders

- Analyse Internal Audit issues for ITGC impacts to in scope central components/applications

- Support the quarterly 302 and annual 404 certification process for IT, inclusive of issue analysis, remediation reviews, senior management reporting and coordination with key stakeholders.

- Support the self-assessment training for key stakeholders

- Support the central component and application re-scoping based on results of business process walkthroughs and self-assessment results

- Partner with external audit to ensure clear communication regarding reviews and to minimize impacts to MS stakeholders in regards to testing support

- Assist with various meetings and committees associated with the SOX program

- Support the process of integrating the new self-assessment module in the Archer platform

- Support the IT SOX Director in identifying IT risks and testing controls, internally.


Skills Required:

- Detail oriented with exceptional organizational and project management skills

- Ability to work effectively on multiple projects with tight deadlines

- Ability to professionally manage up or down the organizational structure of the group

- Ability to partner with various lines of defence within the firm

- Advanced working knowledge of MS Excel, PowerPoint, Word, and SharePoint

- Advanced knowledge of risks and controls in information technology and security. This includes advance experience in risks and controls related to Cybersecurity, Change Management (Agile and Waterfall) and IT Operations

- Experience in assessing the risks and controls related to Operating Systems (Mainframe, Linux, Unix and Windows), database layers (Oracle and DB2), network management system, internally/externally hosted applications, end user computing solutions (EUCs), and DevOps.

- Experience in assessing Service Organization Control (SOC) and other IT assessment related reports from an IT standpoint

- Experience in assessing the risks and controls related to cloud computing

- Experience in assessing IT automated controls that support business process reviews

- 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

- Collaborative and strong relationship building skills

- Self-motivator and team player who brings a can-do and coaching/mentoring approach.

Skills Desired:

- Preferred experience in data analytic and visualization tools

Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents. *LI-SW1
Learn more about our culture and the opportunities for professional growth at Morgan Stanley in Glasgow on our LinkedIn page and Youtube channel.
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