Institutional Securities Financial Auditor recruitment

Position Description
Morgan Stanley is seeking an experienced auditor for its ISG team covering the Capital Markets businesses. 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 the Board Audit Committee those areas requiring control enhancements and providing recommendations for improvements. Audited functions include:  sales and trading activities and procedures; all traded products (equities, fixed income, commodities); operations , financial accounting, compliance and legal protocol; as well as other aspects of the Sales Trading business.

Skills Required
Reporting to a Portfolio Manager, the manager will be able to perform risk assessments and plan, execute and  lead integrated financial and technology audits.

This includes:

• Having a good understanding of risk categories and performing risk assessments at an entity and at a process level.
• Preparing audit planning memorandum including identifying  and evaluating key risks, setting  audit scope, determining budgets and staff assignments.
• Possessing considerable experience performing walkthroughs, assessing  the internal control environment and performing  controls and substantive testing.
• Being able to  manage audits to meet budgets and  the time frame for completing audits.
• Being able to properly assess potential findings for significance.
• Drafting audit reports including writing clear and concise findings and recommendations.
• Following up actions quarterly with clients through to completion.
• Being able to articulate clearly to, and develop relationships with, audit clients.

Skills Desired
• Strong, proven experience auditing financial services.
• Strong knowledge of financial instruments including derivatives (e.g. good understanding of option valuation, able to discuss trading strategies with the front office).
• Strong analytical skills. Able to quickly process information.
• Bright, motivated and good interpersonal and communication skills.
• Degree educated (or equivalent), ACA  or international equivalent  strongly preferred.

Morgan Stanley is an equal opportunities employer and is committed to fair treatment, regardless of background.