Internal Auditor, Director - Internal Audit Division

Morgan Stanley





Position summary

ll as external rules and regulations governing the industry.

The department reports directly to the Board Audit Committee and helps verify whether the firm meets all of its fiduciary responsibilities to shareholders, while adhering to corporate governance standards and legal and regulatory requirements. Internal Audit is comprised of Business and Technology auditors. Business auditors focus on understanding the risks that the businesses face and the controls to mitigate those risks. Technology auditors focus on the application controls supporting the business processes, including systems development, application security and entitlements, production management, and technology governance. Both groups are responsible for understanding, analyzing and testing the controls to protect the franchise.

About the Role

Morgan Stanley Internal Audit Department ("IAD") is currently seeking a Director for its Risk Management audit team based in Tokyo to cover enterprise-wide risk management across the Asia region. The Risk Management audit team performs audits of the second line of defense in all major markets across Asia to form a view on the effectiveness of controls operating within Firm Risk Management. Additionally, the Risk Management team supports the Institutional Securities Group (ISG) audits of Sales & Trading in Equities and Fixed Income, Prime Brokerage and Electronic Trading businesses where Morgan Stanley is the market leader, Investment Banking and Capital Markets and Research.

Key Responsibilities
• Participate in all phases of the audit, including planning, fieldwork and reporting.
• Lead stakeholder discussions on key processes and document walkthrough narratives and/or flow charts.
• Identify and evaluate key business risks.
• Create and execute test procedures to assess the designated control environment, and clearly document results in line with internal documentation standards.
• Assist in the identification and documentation of reportable issues.
• Manage audits to ensure timeliness of completion.
• Maintain ongoing communication with business management to follow-up on previously identified audit issues.
• Participate in continuous monitoring and risk assessment of key business processes to drive risk-based audit plan.
• Develop a strong understanding of business and system processes and be able to communicate complex technical issues in simplified terms to management and audit colleagues.


Qualifications, Skills & Requirements

Skills Required
• Strong verbal and written communication skills in English is a must and Japanese skills are preferred
• Ability to multi-task between several projects.
• Ability to think critically and demonstrate risk and control mindset to understand complex businesses, processes and financial instruments.

Skills Preferred
• Preferably FRM, CFA, CIA, CA or other financial/ risk qualification.

• 5 years or more of relevant experience in Investment Banking/ Risk Management Audit or 1st and 2nd line of defense control functions (e.g. risk management, valuation control, strategists etc.) (Required)
• In-depth knowledge in the risk management domain, e.g. market risk, credit risk, liquidity risk and/ or model risk, and keeps informed of financial market insights, current affairs across the Asia region and regulatory developments relating to risk management. (Required)
• University bachelor, post graduate degree or relevant professional qualifications in a quantitative subject. (Required)
• Working experience with global teams (Preferred)

Why Morgan Stanley?

  • A career with Morgan Stanley means being part of an inclusive culture that encourages diverse perspectives, innovation, and cross-collaboration to bring value to our clients. You'll find passionate people from all walks of life workin g together to make the world a little better every day.

  • We invest in the growth and success of our people through mentorship and development programs, as well as abundant opportunities to connect with peers and senior leaders through employee-driven networks and volunteer activities.

  • Your wellness and priorities outside of work are important to us. Our competitive compensation and benefits package is designed to support the diverse needs of our employees and take care of you and your family.

  • Morgan Stanley is an equal opportunity employer. Our goal is to build and support a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. We are committed to support special needs or reasonable accommodations necessary to enable you to work comfortably and effectively.

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Our Commitment to Japan

Everything we do at Morgan Stanley is guided by our five core values: do the right thing, put clients first, lead with exceptional ideas, commit to diversity and inclusion, and give back. Since opening a representative office in Tokyo in 1970, we have been one of the largest and most active foreign financial firms in Japan providing investment banking, sales & trading, real estate, and investment management services.

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