Internal Audit - Wealth Management Branch Examination

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Morgan Stanley USA
  • 20 Feb 18 2018-02-20

Internal Audit - Wealth Management Branch Examination

Morgan Stanley Wealth Management (WM) is seeking an Internal Auditor to join its Internal Audit Division. The successful candidate will be responsible to provide support in connection with audits performed over Wealth Management businesses. The candidate should have an understanding of internal audit concepts and have a general understanding of the overall wealth management business, including investment products (mutual funds, insurance and annuity products, exchange traded funds, etc.), investment advisory, sales practices and client suitability reviews, and broker-dealer operations. Additionally, the candidate should have effective time management, organizational, and communication skills.

Position Responsibilities:

  • Scope determination, development of audit planning memorandums, performance of test work and assistance with report writing
  • Performance of audits including detailed walkthroughs and flow charts of key processes to identify key risks and controls, development of test procedures for key controls, execution of testing, identification and reporting of issues. On-going communication with business line management discussing the status of business changes as well as perform follow-up on previously identified audit issues
  • Participation in continuous monitoring and conducting ongoing risk assessments of key business processes to drive risk based audit plan
  • Conduct, as appropriate, quality assurance reviews to ensure compliance with department documentation standards


Qualifications:

Education/Experience:
  • 3 to 5 years of internal audit related experience. Wealth Management a plus
  • Excellent verbal and written communication skills
  • Undergraduate degree in business including finance, accounting, economics
  • CPA and/or CIA a plus
  • Compliance / Branch examination experience is a plus

Skills and Personal Attributes:
  • Excellent oral and written communication skills
  • Demonstrated ability to interact management
  • Strong analytical skills
  • Ability to multi-task amongst several projects through the use of strong project management skills