Internal Audit Institutional Securities - Vice President

Morgan Stanley USA
New York, USA
Oct 20, 2017
Oct 22, 2017
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Morgan Stanley is seeking an experienced auditor for its Institutional Securities audit team covering the capital markets businesses. The role is "Audit Coverage Manager - Fixed Income - Credit", responsible for closely managing audit teams in the completion of audits and executing more complex aspects of the audit. The role also involves maintaining client relationships within a defined portfolio of businesses or departments. The role reports to the Cross Divisional Risk Audit Coverage Director. 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 for one or more of the divisions (equities, fixed income, commodities), together with operations, financial accounting, compliance and legal protocols; as well as other aspects of the Sales & Trading business.

The Audit Coverage Manager must be able to risk assess processes, businesses and functions and manage a multi-disciplinary audit team in planning, executing and reporting on integrated financial and technology audits.

This includes the following key skills:
• Extensive audit experience in capital markets businesses,
• Advanced knowledge of financial instruments particularly related to counterparty risks associated with derivative products and firm financing for Fixed Income and Equity trading businesses. • Good working knowledge of securities regulations
• Extensive experience in risk assessing capital markets businesses for incorporation into an audit plan.
• Managing the preparation of audit planning, including identifying and evaluating key risks, setting audit scope, determining budgets and staff assignments.
• Experience in supervising and mentoring a team, and review work papers to ensure they meet internal quality assurance standards.
• Ability to manage multiple audits (regional and global) to meet budgets and the time frame for issuing reports.
• Ability to assess significance of audit findings and communicate clearly and concisely both in writing and verbally to senior client management during reporting stage.
• Being able to articulate clearly to, and develop relationships with, senior client management.
• 4 year college degree.


• In excess of ten years of experience in financial services
• Strong analytical skills. Able to quickly process information.
• Bright, motivated with excellent interpersonal and communication skills.
• Master's degree or relevant industry association qualification (e.g. FRM, CFA) preferred

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