Internal Audit - Finance Auditor, Director, Hong Kong

Morgan Stanley
Hong Kong, Hong Kong
13 Feb 2023
10 Mar 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Team Profile

The Internal Audit Department (IAD) is responsible for validating whether the Firm operates in a controlled environment with appropriate risk management processes. We evaluate the adequacy and effectiveness of the Firm's internal controls using a risk-based methodology developed from professional auditing standards and 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. We are part of a global team with presence in locations in the US, Europe and Asia. Within the team are represented a diverse skill set across business, compliance and financial crimes, risk management, operations, finance, information security and technology who work together to identify, monitor, assess and report on the control environment of the Firm.

About the Role

Morgan Stanley IAD is currently seeking an Associate or Manager for its Hong Kong-based Finance audit team to cover the Finance division across the Asia region. The Finance audit team performs audits across the Finance division including Capital Planning, Corporate Treasury, Finance Shared Services, Financial Planning and Analysis, Global Corporate Controllers, Investment Management Finance, Institutional Securities Group Finance, Tax and Valuation Control to form a view on the effectiveness of controls. Additionally, the Finance audit 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.

Your key responsibilities will include:

- Participate in all phases of the audit including planning, fieldwork execution and reporting.
- Lead client discussion on key processes and document walkthrough narratives and flow charts.
- Create and execute test procedures to assess the designated control environment, clearly document results in line with internal documentation standards and provide recommendations on improving internal controls and governance processes.
- Draft audit reports and communicate audit finding to the Audit Coverage Directors and senior client management.
- Meet with key stakeholders both within and outside the audit department, and attend working groups and committees, as part of continuous monitoring of Finance activities.
- Develop a strong understanding of business and system processes and be able to communicate complex technical issues in simplified terms to management and colleagues from other audit divisions.
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