Morgan Stanley is seeking an experienced auditor for its ISG team covering the Capital Markets businesses. The person in the role will assist the Internal Audit department’s Institutional Securities audit team in completing its annual audit plan, communicating to senior management and the Board Audit Committee those areas requiring control enhancements and providing recommendations for improvements. Audited functions include: sales and trading activities and procedures; all traded products (equities, fixed income, commodities); operations , financial accounting, compliance and legal protocol; as well as other aspects of the Sales & Trading business.
Reporting to a Senior Manager, the Manager will be able to perform risk assessments and plan, and execute integrated financial and technology audits.
- Having a good understanding of risk categories and performing risk assessments at an entity and at a process level.
- Preparing audit planning memorandum including identifying and evaluating key risks, setting audit scope, determining budgets and staff assignments.
- Possessing experience performing walkthroughs, assessing the internal control environment and performing controls and substantive testing.
- Being able to supervise and mentor junior staff, and review workpapers to ensure they meet internal standards.
- Being able to manage audits to meet budgets and the time frame for completing audits.
- Being able to properly assess potential findings for significance.
- Writing clear and concise findings and recommendations.
- Following up actions quarterly with clients through to completion.
- Being able to articulate clearly to, and develop relationships with, audit clients.
- Strong, proven experience in financial services with a preference for those with at least five years auditing financial services.
- Reasonable knowledge of financial instruments including derivatives (e.g. able to discuss trading strategies with the front office).
- Strong analytical skills. Able to quickly process information.
- Bright, motivated and good interpersonal and communication skills.
- College degree required, ACA or international equivalent strongly preferred.
Morgan Stanley - 3 years ago