Internal Auditor - Legal, Compliance & Company, Manager

London, England, United Kingdom
14 Dec 2018
19 Dec 2018
Contract type
Full time

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.

Role Profile

Morgan Stanley is seeking a seasoned financial services professional, with strong audit or line plus audit experience in the Compliance & Financial Crime space within an investment banking environment. The role is at a Manager level, and ultimately reports to the EMEA Head of Compliance, Legal & Company Internal Audit.

This role will support in the execution and management of EMEA and Global Internal Audit efforts, focusing on the EMEA Legal, Financial Crimes and Compliance functions, as well as Human Resources and Corporate Functions-related audits, as needed.

EMEA Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firm's compliance with core regulatory requirements covering all businesses including Institutional Sales and Trading (Fixed Income, Commodities and Equities), Investment Banking, Research, and Investment Management Business across the EMEA region.

EMEA Human Resources is charged with providing support and services to the Firm and its more than 8000 employees across business lines and support services areas. EMEA HR is also responsible for processes associated with the resourcing, reward and talent strategy in relation to the UK Group and the wider EMEA managed business.

Corporate Services is comprised of six functions: Corporate Security; Portfolio & Transaction Management; Real Estate & Location Strategy; Property Management; Corporate Travel Services; and Corporate Information Management.

This audit professional will report to the EMEA Audit Coverage Manager (ACM) for Legal and Compliance, Human Resources and Company Administration.

Primary Responsibilities

• The audit professional will be involved in the development, planning and/or performing of audits across the EMEA region focusing on Financial Crimes, broker-dealer and swap dealer, UK PRA, UK FCA and non-UK EU regulations, Human Resources, and Company Administration;
• Development of EMEA Audit Risk Assessment with EMEA Legal and Compliance senior management to build the EMEA audit plan;
• Partner with global peers on global Legal and Compliance Reviews as well as provide Compliance and Regulatory Subject Matter Expertise to Business Audit colleagues and peers;
• Execution of the audit plan within departmental methodology, policies and standards;
• On-going communication with senior management and external stakeholders to discuss status of the audits, results of test work, and support in the preparation of Board Audit Committee quarterly reporting as needed;
• Ongoing communication with regulators; when required, and
• Ability to travel as needed


Skills Required

• Relevant audit or compliance experience with a financial services firm with a focus on regulatory compliance:
• Good presentation experience with senior management and regulators,
• Experience with a Regulatory Organization a plus
• Strong technical understanding of the financial services regulatory environment;
• Excellent communication and interpersonal skills;
• Good understanding of the internal audit process;
• An undergraduate degree in business including Finance, Accounting, Economics, or equivalent.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.

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