Internal Auditor Operations, Legal and Compliance Vice President

Job Description – Internal Auditor Operations, Legal and Compliance Vice President (3264631)

Job Number:

3264631

Posting Date:

Jan 14, 2025

Primary Location:

Europe, Middle East, Africa-Germany-Germany-Frankfurt

Education Level: Refer to Position Description

Job:

Other

Employment Type: Full Time

Job Level: Vice President

Description:

Morgan Stanley is seeking a seasoned financial services professional, with strong internal audit and line management experience to lead its Operations, Legal and Compliance audit team for the Morgan Stanley Europe Holding SE (MSEHSE) Group. This role covers Middle/Back Office Operations (First line of defense) as well as Legal, Compliance, Global Financial Crimes and Outsourcing control (Second line of defense).

In the Internal Audit division, we provide senior management an objective and independent assessment of the Firm’s internal control environment for risk management and governance. This is a Vice President position within Business Audit, which is responsible for inspecting controls in front, middle and back offices.

What will you be doing?

• Perform Audit risk assessments to evaluate inherent risks, control environments and residual risks
• Participate in the development of the annual MSEHSE Group and global audit plan
• Develop, plan, execute and supervise assurance activities (audits, continuous monitoring, closure verification) in line with audit methodology and within defined timeline and budgets
• Collaborate with internal auditor colleagues globally to drive timely and effective completion of assurance activities
• Write clear and impactful audit reports and communicate audit results and risk messages to Internal Audit management and stakeholders
• Effectively partner with auditees, colleagues, and stakeholders globally to drive effective working relationships

Qualifications:

What you’ll bring in the role:

• 10+ years of relevant experience in financial services (including people management) with strong understanding of audit principles, methodology, tools, and processes (e.g., risk assessments, planning, testing, reporting and continuous monitoring)
• Experience in auditing Operations, Legal, Compliance and Outsourcing functions within regulated Banking entities with a focus on Financial Crimes such as Anti-Money Laundering (AML), Customer Onboarding (KYC) and Fraud
• Strong knowledge of first line Operational processes and the Compliance domain, e.g., EU Money Laundering Directive, German Money Laundering Act (GwG), German Securities Trading Act (WpHG) or BaFin’s Minimum Requirements of Risk Management (MaRisk)
• Critical thinking and a strong risk and control mindset
• Strong analytical skills to leverage and analyze data to develop independent viewpoints and innovative auditing techniques
• Self-motivated and a proven team player, with a strong sense of ownership and accountability
• Ability to work under pressure and achieve results, whilst maintaining a professional and focused approach
• Excellent communication and interpersonal skills with ability to articulate risk and impact clearly and succinctly to different audiences

What you can expect from Morgan Stanley:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — that guide our more than 80,000 employees in 1,200 offices across 42 countries.

At Morgan Stanley, you’ll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We are differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world.

We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.

Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.

Internal Applicants:

Internal mobility can be a way to grow your career and realize your professional potential. Typically, you must be in your position for at least 18 months and performing satisfactorily before applying for another job at the Firm. Internal applicants can find out more regarding career navigation, mobility guidelines and policy on our employee portal.

#J-18808-Ljbffr