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Morgan Stanley · 4 hours ago

Internal Audit Vice President – Legal and Compliance

New York, NY

Full-time

Onsite

Mid, Senior Level

$135K/yr - $203K/yr

6+ 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. The Internal Audit Vice President will lead assurance activities to assess risks and controls within the Legal and Compliance audit program, partnering with global peers and stakeholders to drive effective relationships and insights regarding risk management.

Asset ManagementFinanceFinancial ServicesLending

Responsibilities

Formulate and lead a wide range of assurance activities to assess risks within coverage area and the state of controls in place to mitigate them

Proactively identify risk and emerging risk, and factor into assurance coverage

Articulate actionable insights to management regarding criticality and impact of risks to the business

Effectively partner with colleagues and stakeholders globally to drive effective working relationships

Align projects and initiatives with department and coverage area priorities, and oversee team’s execution of deliverables in accordance with audit methodology and quality standards

Partner with global peers on global Legal and Compliance Reviews; provide Compliance and Regulatory Subject Matter Expertise to Business Audit colleagues and peers; and support the other Global and International NFR teams, as needed

Qualification

LegalCompliance knowledgeAudit principlesMethodologyRisk assessmentData analysisRegulatory communicationProject managementCoachingChange managementInclusive work environmentACAMS qualificationCIA certificationCAMS certificationCFCS certificationMentoringEffective communicationTeam collaboration

Required

Advanced knowledge of industry, global markets and regulations relevant to coverage area (e.g., Legal and Compliance, broker-dealer and swap dealer compliance)

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

Ability to articulate risk and impact clearly and succinctly to different audiences

Effective change and project management techniques and ability to support teams in adapting new ways of working

Ability to leverage and analyze data to inform focus and views on risk

Ability to coach and mentor others and create an inclusive work environment for team

Experience communicating with regulators

Generally, we would expect to find the skills required for this role in individuals with at least 6 years' relevant experience