【モルガン・スタンレー】Internal Auditor, Institutional Securities Group, Director - Internal Audit Division
仕事内容
About the Firm
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 747 offices in 42 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.
About the Department
Internal Audit is responsible for validating whether the firm operates in a controlled environment with appropriate risk management processes. Auditors evaluate the adequacy and effectiveness of the firm's internal controls using a risk-based methodology developed from professional auditing standards. Internal Audit assists in monitoring the firm's compliance with internal guidelines set for risk management and risk monitoring, as well 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
The role will reside within the Internal Audit's Institutional Securities Group (ISG) in Tokyo which is a team dedicated to providing coverage of Sales & Trading and Capital Markets business and related front to back functions in the Asia region. While primary responsibility will be the Japan business, you will be required to work together with the broader Asia team. This will mean that you may be involved in regional or global audits from time to time and be expected to integrate within the broader Asia and global ISG audit team while maintaining key business stakeholder relationships in Japan.
応募資格(必須経験など)
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.
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 understand complex businesses, processes and financial instruments
Skills Preferred
- Preferably CIA, CA, CFA, FRM or other financial/risk qualification
Experience
- Five to eight years of financial industry-related experience (Required)
- General understanding of the internal audit processes (e.g., risk assessments, planning, testing, reporting and continuous monitoring) (Required)
- Working experience with global teams (Preferred)