Internal Audit Institutional Securities – Sr. Manager

  • Competitive
  • New York, NY, États-Unis
  • CDI, Plein-temps
  • Morgan Stanley USA
  • 17 déc. 17 2017-12-17

Internal Audit Institutional Securities – Sr. Manager

Company Profile
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 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.

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 is comprised of 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 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.

Primary Responsibilities
· Executing and supporting audits in Sales & Trading division and support groups with a focus on valuation review and product control (e.g., P&L attribution)
· Following up on actions with clients on a periodic basis
· Training and mentoring of junior staff, specifically on financial products

Qualifications:

Skills required
· Good understanding of the operation of financial markets and current developments impacting the same
· Good understanding of the financial instruments (cash and derivative products) and the valuation concepts / techniques of the same
· Ability to manage work assignments to deadlines, while multi-tasking
· Good analytical and critical skills, showing ability to assess risks and controls
· Good interpersonal skills, showing ability to articulate risks and controls clearly to others
· Good communication skills, showing ability to effectively write reports and summaries of work performed
· Bachelor's degree

Skills desired
· 5-10 years audit experience, primarily in financial markets
· Good understanding of key financial industry regulations
· Good understanding of fixed income (credit, interest rate and FX) and equity trading activities
· CPA, CIA or other accounting qualification
· CFA, FRM or other financial/risk qualification