Internal Audit - ISG Audit - Director - Equities, Hong Kong

Expiring today

Morgan Stanley
Hong Kong, Hong Kong
14 Mar 2023
21 Mar 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Position Title - Hong Kong ISG Audit Director (Senior Associate), Hong Kong

Company Profile

Morgan Stanley is a leading global financial services company 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 1,200 offices in 43 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. Our core values: Do the Right Thing, Put Clients First, Lead with Exceptional Ideas, Commit to Diversity and Inclusion, and Give Back, underpin everything we do in Morgan Stanley.

Department Profile

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. IAD 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.

IAD, as the 3rd Line of Defence (LOD), is responsible for audits across all Morgan Stanley businesses, support and control functions, including the 1st and 2nd LOD. The audits are designed to assess the adequacy and effectiveness of the control environment and to provide the Board Audit Committee and relevant governance committees with an independent assessment of risk across the Firm.

IAD continues to strive to provides insightful viewpoints on leading indicators and topical matters that are most relevant to the Firm, use the most effective and cutting-edge means to accurately evaluate the stability of risk controls, and empower its team members to contribute and succeed in their career.

Role Description

Morgan Stanley IAD is currently seeking an experienced Senior Manager for its Hong Kong-based Institutional Securities Group (ISG) audit team to cover the Institutional businesses for Hong Kong as well as other regional audits across Asia, as appropriate, with a focus on Equities. The ISG audit team performs front to back audits of institutional securities business activities in all major markets in Asia, to form a view on the effectiveness of controls operating within Sales & Trading in Equities and Fixed Income, including the Prime Brokerage and Electronic Trading businesses where Morgan Stanley is the market leader, Investment Banking and Capital Markets, Research and functional groups that support these businesses which include Risk Management, Operations, Finance, Legal and Compliance, and Technology.

Based in Hong Kong and reporting to the Asia ISG Audit Coverage Executive Director, the successful candidate will be supporting the Asia audit teams to perform risk assessments, planning, execution and reporting of regional and global audits, and continuous monitoring activities.
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