Japan Internal Audit, Risk Management, Auditor

Morgan Stanley
Tokyo, Japan
May 30, 2019
Jun 01, 2019
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
I. Background

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities trading, 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.

II. Internal Audit Department Profile

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 team 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 comprises Business, Risk and Technology auditors. Business and Risk 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 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 Firm's franchise.

The Asia Internal Audit Department is responsible for audits across all Morgan Stanley businesses in the region. The audits are designed to assess the adequacy of the control environment and to provide the Board Audit Committee and relevant regional committees with an independent assessment of risk across the Firm.

III. Job Description

Morgan Stanley is seeking a Senior Manager/ Vice President to join its Internal Audit Department based in Tokyo, focusing on Risk and/or Treasury. The successful candidate will help ensure that audit and regulatory requirements are being met in accordance with set standards and ideally have knowledge of risk and/or treasury either as a risk and/or treasury practitioner or as an internal or external auditor.

The successful candidate will be required to provide risk expertise, with a focus on market, credit , liquidity, or operational risk, to all internal audit areas whenever there is a requirement. Based in Tokyo and reporting to regional audit management, the primary responsibilities of the person in this role include, but not limited to:

• Manage, analyze and evaluate the Firm's risk and/or treasury governance and controls, covering all risk stripes, including capital, liquidity and funding.

• Conduct risk assessments for the risk and treasury audit entity universe to drive the risk-based audit plan.

• Execute the annual risk-based audit plan to provide coverage of risk and treasury activities.

• Provide management with a point of view through an independent and objective evaluation of the control environment and evaluate management's control consciousness.

• Communicate effectively with management and staff at all levels, both locally and overseas.

• Co-ordinate with auditors within the team and around the globe on multi-region audits to ensure timely and effective completion.

• I nvolvement in scope determination, audit planning memorandums, developing test plans, issue identification, issue discussions with auditees and report writing.

• Be consistent in applying strong internal audit methodology standards.


• U niversity degree in a quantitative subject (e.g. Mathematics, Physics or Engineering) or business discipline (e.g. Finance or Accounting) preferred.

• Higher quantitative degree or professional qualifications (e.g. FRM, CFA, CPA/ CA) preferred.

• Knowledge of risk management and/or treasury, gained either as a risk or treasury practitioner in a major bank or financial institution, or as an internal or external auditor of a major bank or financial institution.

• Excellent verbal and written communication skills in English.

• Japanese skills are preferred but not mandatory.

• A strong understanding of the financial services industry and associated regulatory environment.

• Have a good understanding of capital markets, sales and trading processes and internal controls.

• Self-motivated, able to work independently, resolve challenging issues with innovative ideas, and demonstrate strong analytical, interpersonal, team-working and project management skills.

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