Internal Audit - Audit Manager, Institutional Securities Group / Hong Kong

Morgan Stanley
Hong Kong, Hong Kong
May 28, 2022
Jun 02, 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
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 Firms employees serve clients worldwide including corporations/ governments and individuals from more than 1200 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: 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.

Department Profile
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 Firms internal controls using a risk-based methodology developed from professional auditing standards. IAD assists in monitoring the Firms 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.

Asia 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.

Role Description

Morgan Stanley IAD is currently seeking an experienced 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. 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.

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