# Vice President Compliance Testing at Morgan Stanley

Morgan Stanley is hiring a Vice President Compliance Testing. Level rates it Little AI ●○○○; you can [apply on Morgan Stanley](https://jobsbylevel.com/go/d08343bc-ec76-4f81-9ddd-611ba77d7fb7?utm_medium=ai-agent).

AI Level 1, AI centrality 0 out of 100. Dallas TX 5960.

## Details

- Company: [Morgan Stanley](https://jobsbylevel.com/companies/morgan-stanley)
- AI level: AI Level 1 (score 0 out of 100)
- Location: Dallas TX 5960
- Posted: October 23, 2026
- Apply: https://jobsbylevel.com/go/d08343bc-ec76-4f81-9ddd-611ba77d7fb7?utm_medium=ai-agent
- Free CV review for this job: https://jobsbylevel.com/cv-review?job=vice-president-compliance-testing-at-morgan-stanley-7823bd

## Prepare for this job

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## Description

We're seeking someone to join our team as a Vice President Compliance Testing who will be planning, preparing, and executing regulatory and compliance-based reviews for Institutional Equities Department (IED), Fixed Income Department (FID), Commodities, Futures, Prime Brokerage, Investment Banking, Research and Operations Divisions. Professionals within the Non-Financial Risk (NFR) Department of the Legal and Compliance Division provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the Firm’s invaluable reputation for integrity and protect the Firm from sanctions and have established a strong Oversight program covering communications and trade surveillance and testing of policies, processes, and controls. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm’s businesses. The Americas ISG Compliance team within LCD’s NFR Department helps manage the 2nd Line of Defense (2LoD) ISG Non-Financial Risk Management program, including risks that transcend business lines, legal entities and jurisdictions of operation. The ISG Americas Compliance Testing Team, as part of the NFR Department, is primarily responsible for assessing activities within the Institutional Securities Group (“ISG”), including Sales and Trading (Equities, Fixed Income and Commodities), Investment Banking, Global Capital Markets and Research, for adherence to applicable laws, rules, regulations and Firm policies and procedures and assessing the design and operating effectiveness of controls around relevant processes covering businesses in the US, Canada and Latin America. The activities conducted by the Testing Team are coordinated globally across ISG NFR Compliance Testing teams in EMEA and Asia. Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world. What you'll do in the role: Responsible for conducting and, depending on experience and level, managing compliance tests which includes conducting information gathering sessions with Business Unit personnel (including management, banking, sales and trading, and support staff), contributing to or determining review scope Leading / participating in walkthroughs, performing substantive on-site testing, summarizing results, preparing and reviewing workpapers, preparing written test reports and relevant findings for discussion and agreement with management, and tracking all findings raised during the review until resolution. Planning, preparing, and executing regulatory and compliance-based reviews for Institutional Equities Department (IED), Fixed Income Department (FID), Commodities, Futures, Prime Brokerage, Investment Banking, Research and Operations Divisions. These reviews include desk, branch, and targeted test, which are primarily focused on evaluating the design and operating effectiveness of controls and compliance with rules, regulations and Firm policies and procedures. The increased usage and incorporation of data analytics and artificial intelligence into the testing program means that a person with strong technical and analytical skills is desired. What you'll bring to the role: 5+ years of compliance experience in the financial services industry, a regulator, a self-regulatory organization, compliance testing or internal audit, with the level of experience commensurate with the Director or Vice President title. 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

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