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Morgan Stanley · 8 hours ago

Internal Audit Director - Legal & Compliance

New York, NY

Full-time

Onsite

Mid Level

$108K/yr - $155K/yr

4+ years exp

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. They are seeking an Internal Audit Director to lead the Compliance Audit team, focusing on the execution of the Legal and Compliance audit program and assessing the effectiveness of internal controls.

Asset ManagementFinanceFinancial ServicesLending

Responsibilities

Help identify risk and impact to Legal & Compliance coverage area to prioritize areas of focus

Execute and lead aspects of assurance activities (e.g., audits, continuous monitoring, closure verification) to assess risk and formulate a view on the control environment

Facilitate conversations with stakeholders on risks, their impact and how well they are managed in a clear, timely and structured manner

Assist in managing multiple deliverables in line with team priorities

Solicit and provide feedback and participate in formal and on-the-job training to further develop self and peers

Qualification

Audit principlesLegal & Compliance regulationsRisk assessmentsACAMS qualificationCIA certificationInclusive behaviorsData analysisStakeholder communicationInternal Audit experience

Required

Understanding of business line and key regulations relevant to Legal & Compliance

Strong understanding of audit principles, methodology, tools and processes (e.g., risk assessments, planning, testing, reporting and continuous monitoring)

Ability to identify and analyze multiple data sources to inform point of view

Ability to ask meaningful questions, understand various viewpoints and adapt messaging accordingly

A commitment to practicing inclusive behaviors

Generally, we would expect to find the skills required for this role in individuals with at least 4 years' relevant experience