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Internal Audit - Fixed Income - Vice President
Morgan Stanley
New York, NY, United States
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Description
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.
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.
Morgan Stanley is seeking a Vice President for its Institutional Securities Group (ISG) audit team covering the IS businesses in the United States, with a focus on the Fixed Income Division in New York. The person in the role will assist the Internal Audit department’s Institutional Securities audit team in completing its annual audit plan, communicating to senior management and providing recommendations for improvements.
Audited functions include all sales and trading and together with the associated infrastructure support and control groups such as Operations, Finance, Technology, Compliance.
Qualifications
The Auditor’s responsibilities include:
• Manage assigned portions of Fixed Income audit projects and supervise staff on audit assignments
• Build and maintain relationships with Fixed Income clients and related support groups
• Evaluating the adequacy of the control environment for Fixed Income and the associated processes and evaluating compliance with internal policies and procedures, external rules and regulations
• Execute audits in line with audit test programs and within time budgets
• Draft audit reports with clear and concise findings
• Present observations to line management; and assist with negotiating finalization of issues with senior client management
• Track implementation of agreed remediation actions designed to strengthen internal controls
• Participate to the annual FID audit planning process
Skills required:
• 10-12 years of experience in financial services is essential, with a preference for those with experience of auditing sales and trading activities
• College degree (or equivalent) required, CPA, CIA or international equivalent audit qualification preferred
• Experience of the Fixed Income markets preferred
• Good knowledge of financial products including derivatives, and the associated regulatory environment
• Understanding capital markets front to back processes
• Experience in managing small team (2-3 members) during audit projects
• Ability to work globally and across teams
• Ability to handle multiple projects while meeting deadlines with minimal supervision
• Self-motivated, able to work independently, resolve challenging issues with innovative ideas, and demonstrate strong analytical skills*LI