Internal Audit, Compliance Director

　　We're seeking someone to join our team as a director to work as part of the wider Global Legal & Compliance Audit team with a focus around Compliance oversight of 1st line business unit risk, and regulatory obligations.

　　In the Audit division, we provide senior management an objective and independent assessment of the Firm's internal control environment for risk management and governance. This is a Director level position within Business Audit, which is responsible for inspecting controls in front, middle and back offices.

　　Morgan Stanley is an industry leader in financial services, known for mobilizing capital to help governments, corporations, institutions, and individuals around the world achieve their financial goals.

　　Location: Baltimore, MD (Hybrid, 3x per week in office)

　　Interested in joining a team that's eager to create, innovate and make an impact on the world? Read on...

　　What you'll do in the role:

　　Primary Responsibilities:

　　• Leading the execution of audit engagements from initiation to completion including executing and documenting detailed walkthroughs of key processes to identify internal controls, developing, executing and overseeing substantive testing of control and related procedures, and ultimately reporting identified issues. Involvement in scope determination, development of audit planning memorandums, developing testing plans, review of staff fieldwork, issue identification and discussions with clients and report writing.

　　• Maintaining on-going communication with compliance management to follow-up on previously identified audit issues, as well as execution of closure verification testing to validate remediation of previously identified audit issues.

　　• Assisting in the drafting of reporting to senior management and contributing to the development of summary materials and occasional presentation to regulatory stakeholders.

　　• Represent the Compliance audit team by providing subject matter expertise to other business coverage areas in front-to-back audits.

　　• Providing management with an independent and objective evaluation of the control environment and evaluating management's control consciousness.

　　• Conducting risk assessments for the Compliance audit entity universe to help drive the development of a risk-based audit plan.

　　QUALIFICATIONS

　　What you'll bring to the role:

　　Qualifications:

　　General Skills and Experience

　　• Strong leadership, interpersonal and relationship management skills

　　• Strong presentation skills with senior management

　　• Team oriented with a strong sense of ownership and accountability

　　• Strong technical understanding of the financial services regulatory environment

　　• Excellent verbal and written communication and interpersonal skills

　　• Proficient understanding of the internal audit process including risk assessments, planning, scheduling, reporting, continuous auditing. Multi-tasking of various projects and deadlines.

　　• Solid analytical skills

　　• Highly motivated with the ability to multi-task and remain organized in a high paced environment

　　• Three to five years of audit or compliance experience with a financial services firm with a focus on regulatory compliance

　　Skills Desired:

　　• Prior experience with a regulatory entity a plus

　　• An undergraduate degree in business including Finance, Accounting, Economics, etc.

　　• An M.B.A. or equivalent post graduate degree is encouraged

　　What you can expect from Morgan Stanley:

　　We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.

　　Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

　　It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

　　Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).