Morgan Stanley · 3 days ago
Internal Audit, Vice President – Global Compliance
New York, NY
Full-time
Onsite
Mid, Senior Level
$135K/yr - $202K/yr
6+ years expMorgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. They are seeking an Internal Audit Vice President to join their Compliance Audit team, responsible for oversight and execution of the Legal and Compliance audit program. The role involves assessing risks, providing actionable insights, and collaborating with global teams to enhance risk management processes.
Asset ManagementFinanceFinancial ServicesLending
Responsibilities
Formulate and lead a wide range of assurance activities to assess risks within coverage area and the state of controls in place to mitigate them
Proactively identify risk and emerging risk, and factor into assurance coverage
Articulate actionable insights to management regarding criticality and impact of risks to the business
Effectively partner with colleagues and stakeholders globally to drive effective working relationships
Align projects and initiatives with department and coverage area priorities, and oversee team’s execution of deliverables in accordance with audit methodology and quality standards
Partner with global peers on global Legal and Compliance Reviews; provide Compliance and Regulatory Subject Matter Expertise to Business Audit colleagues and peers; and support the other Global and International NFR teams, as needed
Qualification
Required
Advanced knowledge of industry, global markets and regulations relevant to coverage area (e.g., Legal and Compliance, broker-dealer and swap dealer compliance)
Strong understanding of audit principles, methodology, tools and processes (e.g., risk assessments, planning, testing, reporting and continuous monitoring)
Ability to articulate risk and impact clearly and succinctly to different audiences
Effective change and project management techniques and ability to support teams in adapting new ways of working
Ability to leverage and analyze data to inform focus and views on risk
Ability to coach and mentor others and create an inclusive work environment for team
Experience communicating with regulators
Generally, we would expect to find the skills required for this role in individuals with at least 6 years' relevant experience
Preferred
Internal Audit or Second Line experience preferred
ACAMS qualification or equivalent preferred
Relevant certifications (e.g., CIA, CAMS, CFCS) preferred
Benefits
Some of the most attractive and comprehensive employee benefits and perks in the industry
Company
Morgan Stanley
Morgan Stanley is a financial services company that offers securities, asset management, and credit services.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
unknown1997-02-05IPO
Leadership Team
James Gorman
Chairman and CEO
Ted Pick
Chief Executive Officer (CEO)
Recent News
South China Morning Post
2026-01-25
Company data provided by crunchbase