Audit Associate/Manager ISG

Morgan Stanley
Tokyo, Japan
Mar 30, 2021
Apr 29, 2021
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities trading, investment management and wealth management services.

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: Committing to Diversity and Inclusion, Putting Clients First, Doing the Right Thing, Leading with Exceptional Ideas and Giving Back underpin everything we do in Morgan Stanley.

II. Global Internal Audit Department

Internal Audit Department (IAD) 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. 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. 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. IAD comprises of a team of auditors with a diverse skill sets in business, compliance and financial crimes, risk management, operations, finance, information security and technology, working 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, 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.

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.

III. Job Description

Morgan Stanley IAD is currently seeking an experienced Associate or Manager for its Tokyo-based Institutional Securities Group (ISG) audit team covering the capital markets businesses for Japan as well as other regional audits across Asia, as appropriate. The ISG audit team performs audit of institutional securities business activities in all major markets in Asia, including Japan, 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 Tokyo and reporting to the Japan ISG Audit Coverage Manager, the successful candidate will be supporting the Japan and Asia audit teams to perform risk assessments, planning, execution and reporting of regional and global audits, and continuous monitoring activities. The successful candidate should have the following experience and qualifications:


3-5 years of relevant experience in audit or 1st and 2nd line of defence control functions in institutional securities and capital markets, with knowledge of financial instruments and derivative products

Demonstrates keen interest and keeps informed of Japan market insights, hot topics and regulatory developments

Demonstrates critical thinking, good project management skill, strong analytical and problem solving skills with the drive to develop independent viewpoint and innovative ideas

Self-initiated and a proven team player in collaboration and supporting team members

Good English communication skill is essential and Japanese language skill is preferred but not mandatory

Candidate with technology background and/or experience in developing or using Data Analytic tools and techniques will have added advantage

University bachelor, post graduate degree or relevant professional qualifications (e.g. CIA, CFA, CPA, etc.)

Equal Opportunity Statement

"At Morgan Stanley, diversity is an opportunity-for clients, employees and firm. By valuing diverse perspectives, we can better serve our clients, while we help employees achieve their professional objectives. A corporate culture that is open and inclusive is fundamental to our role as a global leader constantly striving for excellence in all that we do." ―James P. Gorman

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, gender, gender identity or expression, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy (including unlawful discrimination on the basis of a legally protected pregnancy/maternity leave), veteran status, genetic information, or any other characteristic protected by law.