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Internal Auditor, Institutional Securities Group, Director - Internal Audit Division

Morgan Stanley
Tokyo, Japan
Closing date
Dec 22, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
About the Firm

Morgan Stanley is a leading global financial services Firm 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 747 offices in 42 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.

About the Department

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 department 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 is comprised of Business and Technology auditors. Business 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 the 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 franchise.

About the R ole

The role will reside within the Internal Audit's Institutional Securities Group (ISG) in Tokyo which is a team dedicated to providing coverage of Sales & Trading and Capital Markets business and related front to back functions in the Asia region. While primary responsibility will be the Japan business, you will be required to work together with the broader Asia team. This will mean that you may be involved in regional or global audits from time to time and be expected to integrate within the broader Asia and global ISG audit team while maintaining key business stakeholder relationships in Japan.

Key R esponsibilities
  • Participate in all phases of the audit, including planning, fieldwork and reporting.
  • Lead stakeholder discussions on key processes and document walkthrough narratives and/or flow charts.
  • Identify and evaluate key business risks.
  • Create and execute test procedures to assess the designated control environment, and clearly document results in line with internal documentation standards.
  • Assist in the identification and documentation of reportable issues.
  • Manage audits to ensure timeliness of completion.
  • Maintain ongoing communication with business management to follow-up on previously identified audit issues.
  • Participate in continuous monitoring and risk assessment of key business processes to drive risk-based audit plan.
Qualifications, Skills & Requirements

Skills Required

1. Strong verbal and written communication skills in English is a must and Japanese skills are preferred
2. Ability to multi-task between several projects
3. Ability to understand complex businesses, processes and financial instruments

Skills Preferred

1. Preferably CIA, CA, CFA, FRM or other financial/risk qualification


1. Five to eight years of financial industry-related experience (Required)
2. General understanding of the internal audit processes (e.g., risk assessments, planning, testing, reporting and continuous monitoring) (Required)
3. Working experience with global teams (Preferred)

Why Morgan Stanley?
- A career with Morgan Stanley means being part of an inclusive culture that encourages diverse perspectives, innovation, and cross-collaboration to bring value to our clients. You'll find passionate people from all walks of life working together to make the world a little better every day.
- We invest in the growth and success of our people through mentorship and development programs, as well as abundant opportunities to connect with peers and senior leaders through employee-driven networks and volunteer activities.
- Your wellness and priorities outside of work are important to us. Our competitive compensation and benefits package is designed to support the diverse needs of our employees and take care of you and your family.
- Morgan Stanley is an equal opportunity employer. Our goal is to build and support a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. We are committed to support special needs or reasonable accommodations necessary to enable you to work comfortably and effectively.
- Discover our Japan Offerings:
- Discover our Global Offerings:

Our Commitment to Japan

Everything we do at Morgan Stanley is guided by our five core values: do the right thing, put clients first, lead with exceptional ideas, commit to diversity and inclusion, and give back. Since opening a representative office in Tokyo in 1970, we have been one of the largest and most active foreign financial firms in Japan providing investment banking, sales & trading, real estate, and investment management services.

Our People (English):

Our People (Japanese):

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