Associate - Wealth Management
Morgan Stanley
Mumbai , Maharashtra, India, Japan Asia, Non
5d ago

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.

Morgan Stanley is seeking an Associate to join its Internal Audit Division to support audits performed over Morgan Stanley’s Wealth Management businesses.

The candidate should understand risks, controls, and audit concepts as well as the overall wealth management business, including investment products.

Additionally, the candidate should have strong time management, organizational, and communication skills.

Primary Responsibilities

  • Execution of all phases of the audit, including scope determination, development of audit planning memorandums, documentation of walkthroughs and flow charts for key processes, development and execution of test procedures for key controls, discussion and documentation of issues, and report writing.
  • Ensure execution of the audit plan within departmental methodology, policies and standards

  • On-going communication with business line management to follow-up on previously identified audit issues, as well as execution of testing to verify closure of previously identified audit issues
  • Execution of continuous monitoring and conducting ongoing risk assessments of key business processes to drive risk based audit plan
  • Provide management with an independent and objective evaluation of the control environment and evaluate management’s control consciousness
  • Conduct, as appropriate, quality assurance reviews to ensure compliance with department documentation standards
  • Qualifications

  • Three or more years of internal audit related experience with Wealth Management products and services experience
  • Excellent verbal and written communication skills, including demonstrated ability to communicate with senior management
  • Strong analytical skills
  • Ability to multi-task between several projects through the use of strong project management skills
  • Solid understanding of the internal audit process including risk assessments, planning, scheduling, reporting, continuous auditing
  • Undergraduate degree in business including Economics, Finance, Accounting, etc.
  • ACA, CIA or other related licensing a plus
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