Internal Audit-Technology-Wealth Management

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  • Post Date : September 16, 2020
  • Apply Before : October 16, 2020
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Job Description

Internal Audit-Technology-Wealth Management

Job Number:


POSTING DATE: Sep 9, 2020
PRIMARY LOCATION: Americas-United States of America-New York-New York
EDUCATION LEVEL: Bachelor’s Degree
JOB: Audit
JOB LEVEL: Senior Manager


Senior Manager -Technology Audit

Company Profile
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.

Department Profile
Morgan Stanley’s Internal Audit Department reports to the Firm’s Board Audit Committee and comprises financial, technology and risk auditors. Our mission is to be recognized as a strong and high performing audit function that is viewed as a trusted authority and advisor to the Board, Firm management and industry regulators in assessing and strengthening the Firm’s control environment. Internal Audit provides independent assurance on the quality and effectiveness of Morgan Stanley’s internal control, risk management and governance systems and processes.

Technology Auditors focus on the application and system infrastructure controls that manage business risks and are responsible for understanding, analyzing, and testing the technology controls, including those over data accuracy, completeness and processing, systems development, application security and entitlements, production management and technology governance. Technology Auditors work closely with our Business Auditors to perform integrated audits.
Morgan Stanley is seeking a strong technology audit candidate to cover the applications and system infrastructure supporting the Investment Management and Wealth Management Technology team. The candidate will be responsible for leading technology-led audits and partnering with business auditors on other audits. This candidate will provide coverage of assigned areas through relationship management and continuous monitoring, manage the audit process from initiation to completion, and develop talent. Other responsibilities include helping to define the audit plan, managing the audit team, and reporting to management.

Primary Responsibilities
Manage and supervise a portfolio of audit projects in Wealth Management and/or Investment Management, and assist in the management and development of auditors
Partner with Technology and Business Auditors to complete risk assessments, control environment assessments, audit scheduling, audit planning, test plan development and execution, audit issue documentation, and reporting to senior management
Build strong relationships with both the Business Unit and Technology senior management
Present issues and other reports to senior management


Skills required
Seven or more years IT Audit experience with a Financial Services, Brokerage Firm or a Public Accounting Firm with emphasis on the Financial Services Industry
Strong knowledge of audit processes and ability to review and manage the quality of audit work
Strong written and verbal communication skills
Experience in auditing applications, interfaces, system infrastructure, data processing and technology general controls
Ability to manage multiple projects and deliverables, while meeting deadlines with minimal supervision
Experience with data analytics
Knowledge of Wealth Management or Investment Management products and emerging technologies (e.g. AI-ML, etc.) in is a plus
Knowledge of financial systems (e.g. SWIFT) and compliance regulations (e.g., Privacy such as GLBA, CCPA, GDPR, Regulation BI, AML) is a plus
Professional Qualifications
Bachelor’s Degree (Computer Science or IT related preferred)
CISA, CISSP or CPA certification a plus#LI-JJ1

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