We’re seeking someone to join our team as a Vice President to join our U.S. Broker Dealer and Swap Dealers Internal Audit Division, in a business auditor capacity, to complement the existing team of auditors providing assurance activities to both U.S. Broker Dealers and U.S. Swap Dealers. The successful candidate will validate whether the firm operates in a controlled environment with appropriate risk-management processes, have the ability to effectively communicate risk to senior leadership and effectively supervise and govern a team.

　　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 Vice President 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: New York, NY (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

　　· Manage the execution of various assurance activities to ensure comprehensive audit coverage of U.S. Broker Dealer and Swap Dealers, including scope determination, test plan development, issue identification, and reporting.

　　· Maintains subject matter expertise on respective broker dealer and swap dealer regulatory requirements, and periodically provides guidance to business and functional coverage teams on the consideration of these regulations in existing audit risk assessments and coverage.

　　· Collaborate with regional audit teams to develop a Global Broker Dealer and Swap Dealer Audit Coverage Model

　　· Partners with business and functional area coverage teams to identify and track audit and regulatory issues relating to regulation of the relevant broker dealer and swap dealer legal entities.

　　· Conduct continuous monitoring and risk assessments for select business units and risk stripes to help drive the risk-based assurance plan.

　　· Ensure execution of the assurance plan within departmental methodology, policies, and standards.

　　· Provide Management with an independent and objective evaluation of the control environment and evaluate management's control consciousness.

　　· Support Audit Coverage Director (ACD) with coordinating messaging regarding broker dealer and swap dealer regulations to stakeholders, including Senior Management & Committees, Regulators, and Board of Directors.

　　· Oversee the team's execution of assurance activities, in accordance with internal audit methodology, policy and standards, including review of work-papers, finalization of issues, and messaging.

　　What you’ll bring to the role:

　　Skills Required

　　· Proficient understanding of Broker-dealer Regulatory Reporting 15c3-1 Net Capital & 15c3-3 Reserve Requirement including a familiarity with stock record and corresponding security allocations.

　　· Understanding of broker dealer and swap dealer transaction reporting and associated risk and controls.

　　· Strong knowledge of the CFTC Swap Dealers and SEC Security Based Swap Dealers regulatory requirements.

　　· Ability to think critically and develop innovative ideas for audit coverage strategy to ensure comprehensive coverage and focus on key risks.

　　· Ability to multi-task amongst several projects using strong project management skills.

　　· Excellent verbal and written communication skills for audit reporting discussions with Senior Audit and Business Management.

　　· Self-motivated, able to work independently and resolve challenging issues.

　　Skills Preferred

　　· Internal or external auditor with more than 8-10 years of audit or regulatory experience as a SEC, CFTC, FINRA & NFA examiner (desirable).

　　· Master or MBA with a concentration in Economics, Finance, Accounting, etc. (desirable).

　　· CPA, CRCM, CIA or other related licensing (such as Series 7, 27, 99) (desirable).

　　· Experience with data analytic techniques is a plus.

　　Experience

　　· A four-year college degree in a business discipline (e.g., Finance, Economics, Accounting).

　　· At least 6 years' relevant experience would generally be expected to find the skills required for this role.

　　· A strong understanding of internal audit processes including identifying and evaluating key risks, setting the audit scope, developing audit testing and managing staff assignments.

　　· Knowledge of capital markets and broker dealer and swap dealer activities, products and regulatory/compliance requirements for all business.

　　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.

　　Expected base pay rates for the role will be between $110,000 and $190,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

　　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).

　　Job: *Audit

　　Title: Internal Audit, Vice President - Finance

　　Location: New York-New York

　　Requisition ID: 3246058