Japan Internal Audit, AML/Compliance Audit Japan Internal Audit, AML/Compliance Audit …

Morgan Stanley
in Tokyo, Tokyo-to, Japan
Permanent, Full time
Be the first to apply
Morgan Stanley
in Tokyo, Tokyo-to, Japan
Permanent, Full time
Be the first to apply
See job description for details

Company Profile

Morgan Stanley is a leading global financial services company 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.

Department Profile

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 of a team of auditors with a diverse skill sets in business, compliance and financial crimes, risk management, operations, finance, information security and technology, working together to identify, monitor, assess and report on the control environment of the Firm.

The Asia Internal Audit Department, as the 3 rd Line of Defence (LOD), is responsible for audits across all Morgan Stanley businesses, support and control functions, including the 1 st and 2 nd LOD, 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.

Role Description

Morgan Stanley is currently seeking an experienced auditor for audit coverage of Compliance, Global Financial Crimes (GFC) and Corporate functions (HR, Corporate Services, Vendor Management) across Asia. This individual will be primarily responsible for coverage of Japan but will also have the opportunity to get involved in global and regional audits.

Based in Tokyo and reporting locally to the Japan Head of Audit and regionally to the Asia Legal, Compliance and Corporate Functions Audit Director, this role is responsible for performing risk assessments and assisting in planning, executing and reporting on audits, including, but not limited to:

• Independently plan and perform audits across Asia.

• 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.

• Keep informed of industry developments and use this information to inform audit scoping and risk assessments.

• Develop effective relationship with audit clients particularly in Japan.

• Be consistent in applying strong internal audit methodology standards.
· The successful applicant will be part of the Legal, Compliance and Corporate Functions team as well as aligned to the Front-to-Bank business audit team. He or she will have opportunity to work on audits across the Firm.



• University degree.

• ACAMS, Certified Regulatory Compliance Manager (CRCM), and/or Institute of Internal Auditors (IIA) certification a plus.

• At least 6 years of relevant work experience.

• Understanding of Japan Regulatory environment for Compliance and AML.

• Excellent communication skills in English. Japan and Korea language skills a plus.

• Attention to detail, good documentation and report writing skills.

• Creative problem resolution skills with the drive to bring innovative ideas within a progressive and fast-paced environment.
· Sales and Trading business knowledge / trade surveillance experiences would be advantage

• 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.

• Team player with ability to work independently in a fast-paced environment and within a small team setting.

Equal Opportunity Statement

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, gender, gender identity or expression, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy (including unlawful discrimination on the basis of a legally protected pregnancy/maternity leave), veteran status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/D/V).