Internal Audit - Enterprise-wide Auditor, Senior Manager (Hong Kong)
Morgan Stanley
Hong Kong, Hong Kong, Hong Kong, Japan Asia


Company ProfileMorgan 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 42 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 ProfileInternal 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 3rd Line of Defence (LOD), is responsible for audits across all Morgan Stanley businesses, support and control functions, including the 1st and 2nd 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 DescriptionMorgan Stanley is currently seeking an experienced professional with strong knowledge on China financial market (Investment Banking or Asset Management) and regulations to join our audit team that covers the Firm’s infrastructure support functions including Legal & Compliance, Global Financial Crimes, Human Resources and Corporate Services.

Based in Hong Kong and reporting to the Asia Audit Coverage Director for Compliance and Enterprise-wide Audit, 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.
  • Take ownership and drive Internal Audit continuous monitoring activities.
  • Be consistent in applying strong internal audit methodology standards.The successful applicant will be part of the Compliance and Enterprise-Wide Audit team within the Asia Internal Audit Department, as well as aligned to the business audit teams for front-to-back business audits, as required.
  • 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 8 years of relevant work experience.
  • Experience of conducting audits for Financial Services organizations.
  • Excellent communication skills in English and Mandarin.
  • 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.
  • 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.
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