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Internal Auditor, Director － Internal Audit Division
年収：800万 ～ 5000万
採用企業案件
モルガン・スタンレー・グループ株式会社
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- 会社規模501-5000人
- 証券
| 部署・役職名 | Internal Auditor, Director － Internal Audit Division |
|---|---|
| 職種 | |
| 業種 | |
| 勤務地 | |
| 仕事内容 |
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 department 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 is comprised of Business and Technology auditors. Business 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 the 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. About the Role The Internal Audit Department (“IAD”) is currently seeking a Director for its Risk Management audit team based in Tokyo to cover enterprise-wide risk management across the Asia region. The Risk Management audit team performs audits of the second line of defense in all major markets across Asia to form a view on the effectiveness of controls operating within Firm Risk Management. Additionally, the Risk Management team supports the Institutional Securities Group audits of Sales & Trading in Equities and Fixed Income, Prime Brokerage and Electronic Trading businesses where our company is the market leader, Investment Banking and Capital Markets and Research. Key Responsibilities · Participate in all phases of the audit, including planning, fieldwork and reporting. · Lead stakeholder discussions on key processes and document walkthrough narratives and/or flow charts. · Identify and evaluate key business risks. · Create and execute test procedures to assess the designated control environment, and clearly document results in line with internal documentation standards. · Assist in the identification and documentation of reportable issues. · Manage audits to ensure timeliness of completion. · Maintain ongoing communication with business management to follow-up on previously identified audit issues. · Participate in continuous monitoring and risk assessment of key business processes to drive risk-based audit plan. · Develop a strong understanding of business and system processes and be able to communicate complex technical issues in simplified terms to management and audit colleagues. |
| 労働条件 |
PRIMARY LOCATION:Japan-Tokyo |
| 応募資格 |
【必須（MUST）】 Skills Required· Strong verbal and written communication skills in English is a must, Japanese skills are preferred · Ability to multi-task between several projects. · Ability to think critically and demonstrate risk and control mindset to understand complex businesses, processes and financial instruments. Experience · 5 years or more of relevant experience in Investment Banking/ Risk Management Audit or 1st and 2nd line of defense control functions (e.g. risk management, valuation control, strategists etc.) (Required) · In-depth knowledge in the risk management domain, e.g. market risk, credit risk, liquidity risk and/ or model risk, and keeps informed of financial market insights, current affairs across the Asia region and regulatory developments relating to risk management. (Required) · University bachelor, post graduate degree or relevant professional qualifications in a quantitative subject. (Required) · Working experience with global teams (Preferred) 【歓迎（WANT）】 ・ Preferably CIA, CA, CFA, FRM or other financial/risk qualification・Working experience with global teams |
| 受動喫煙対策 | 屋内禁煙 |
| 更新日 | 2024/04/04 |
| 求人番号 | 3076598 |
採用企業情報
- モルガン・スタンレー・グループ株式会社
-
- 会社規模501-5000人
- 証券
-
会社概要
Morgan Stanley’s leading position in Japan’s financial markets reflects 40 years of client focus, innovation and the continuous pursuit of excellence. With more than 1,300 people in Japan, Morgan Stanley is one of the largest and most active foreign financial firms in the Japanese market. We are a preeminent provider of investment banking, sales & trading, real estate and investment management products and services.
Organization Overview:
Voting Interest
Morgan Stanley:Mitsubishi UFJ Financial Group = 51%:49%
Organization Diagram
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