Asia Pacific Internal Audit, AML/Compliance Auditor, Manager/ Senior Manager (Hong Kong)
Location: Non-Japan Asia-Hong Kong-Hong Kong-Hong Kong
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.
II. Global Internal Audit Department
Within Morgan Stanley, 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. Internal Audit comprises Business, Risk and Technology auditors. Business and Risk auditors focus on understanding the risks that the businesses face and the controls to mitigate those risks. Technology auditors focus on the application controls supporting business processes, including systems development, application security and entitlements, production management, and technology governance. Both groups are responsible for understanding, analyzing and testing the controls to protect the franchise.
Headquartered in Hong Kong, the Asia Internal Audit Department is responsible for audits across all Morgan Stanley businesses in the region. The audits are designed to assess the adequacy of the control environment and to provide the Board Audit Committee and relevant regional committees with an independent assessment of risk across the Firm.
III. Job Description
Morgan Stanley is currently seeking an experienced auditor (Manager/Senior Manager) for audit coverage of AML and Compliance.
Based in Hong Kong and reporting to regional audit management, this role is responsible for performing risk assessments and assisting in planning, executing and reporting on AML / Compliance audits, including, but not limited to:
• Independently plan and perform AML and Compliance audits across Asia Pacific.
• Communicate effectively with management and staff both locally and overseas.
• Co-ordinate with auditors around the globe on multi-region audits to ensure timely and effective completion.
• Discuss and finalize audit findings with auditees.
• Be consistent in applying strong internal audit methodology standards.*LI-SC1
• University degree in a business discipline e.g. Finance or Accounting. Master’s degree or relevant industry association (e.g. FRM, CFA) preferred.
• ACAMS, Certified Regulatory Compliance Manager (CRCM), and/or Institute of Internal Auditors (IIA) certification a plus.
• At least 8-10 years of work experience as an auditor or Anti-Money Laundering/ Compliance Specialist.
• Advanced knowledge of the various Compliance and Anti-Money Laundering regulations.
• Excellent communication skills in English.
• Attention to detail, good documentation and report writing skills.
• Creative problem resolution skills with the strive to bring innovative ideas within a progressive and fast-paced environment.
• Possess experience performing walkthroughs, risk assessments of the internal control environment, performing controls and substantive testing while meeting internal quality assurance standards.
• Solid relationship management skills when interacting with multiple stakeholders globally.
• Strong analytical skills with ability to accurately and efficiently process information.
• Bright, motivated and keen learner.
• Highly articulate with strong self-motivation.
• Team player with ability to work independently in a fast-paced environment and within a small team setting.
• Less than 10% travel required.
- Certified Internal Auditor
- Anti Money Laundering (AML)
- Internal Audit
- Investment Management
- Quality Assurance
- Report Writing
- Risk Management
- Wealth Management