: Non-Japan Asia-India-Maharashtra-Mumbai (MSA)
Morgan Stanley is seeking an experienced auditor for its Internal Audit Department (IAD). IAD comprises Business, Risk and Technology Auditors; Subject Matter Experts (e.g., Risk, Data Analytics); and support functions that are responsible for ensuring the department adheres to professional, regulatory, and Firm policies and procedures. IAD provides independent assurance on the quality and effectiveness of the Firm?s internal control, risk management, and governance systems and processes. It achieves this by identifying and assessing the operating risks of the Firm and evaluating the adequacy and effectiveness of the Firm?s system of internal control. The division provides opportunity to gain unique insight on the financial industry and its products and operations.
We?re looking for detail-oriented team players who have an interest in financial markets and want to gain insight into the firm?s operations and control processes.
Team: finance Audit (Regulatory Reporting & Core Finance)
The role will reside within the Finance audit team in Mumbai. The role includes audit completion and maintaining client relationships within the firm?s Finance organization including Financial and Regulatory Reporting Controllers, Accounting Standards and Control, Financial Planning & Strategy, and Corporate Tax. The person in the role will assist the Finance audit team in completing its annual audit plan, audit test design and execution, identifying areas requiring control enhancements, providing recommendations for control improvements, and undertaking continuous monitoring of key business activities. Audited functions include regulatory reporting, financial accounting/records, accounting policy, valuations, tax, product controllers and SOX processes.
Primary Responsibilities (Day Job)
? Provide audit coverage in Finance audits through risk assessments, audit planning, testing, and reporting.
? Participate in the periodic continuous monitoring of Finance activities, analyze, and document the risk assessments.
? Assist Audit Coverage Managers in developing audit test programs and executing against plans within specified budgets and leading certain aspects of audits/reviews.
? Evaluate testing of control operating effectiveness and documenting results.
? Assist and review the documentation of junior team members and provide appropriate guidance where required.
? Communicating audit findings to the Internal Audit Coverage Managers and Finance Management.
? Identify and evaluate key risks surrounding Finance regulatory reporting process.
? Create and execute test procedures to assess the designated control environment, and clearly document results in line with internal documentation standards.
? Identify and document reportable issues and participate in presenting and communicating issues to management.
? Manage audits to ensure timeliness of completion.
? Maintain ongoing communication with Finance management to follow-up on previously identified audit issues.
? Participate in continuous monitoring and risk assessment of key business processes to drive risk-based audit plan.
? Participate/ lead strategic initiatives and projects to enhance our audit approach and coverage.
? Develop solid working relationship with clients and across the broader Internal Audit Department.
Morgan Stanley is seeking a strong Audit candidate to cover the Finance regulatory reporting policies and regulations including reporting forms and instructions and other Core Finance audit coverage in MS. The candidate should be able to complete risk assessments and work within a team to plan, execute audit tests/tasks assigned and report findings during financial audits.
Knowledge and Skills
? Understand audit scope, prepare audit planning documentation, and plan and conduct walkthroughs
? Understand the financial system and reporting requirements as applicable to key Finance processes in scope and associated risks and identify the key Finance risks and controls that are impacted.
? Functional or Audit experience around US and UK Finance regulatory reports such as FR Y-9C, FR Y-14M/Q/A, FFIEC, COREP et all.
? Solid technical knowledge of accounting standards and experience in researching GAAP and/or other regulatory standards.
? Detailed understanding and knowledge of financial statement processes and accounting requirements.
? Team player with ability to work independently in a fast-paced environment and within a small team setting.
? Keen attention to detail and demonstrated strong analytical skills in identifying and analyzing Finance risks.
? Strong verbal and written communication skills.
? Ability to multi-task between several projects.
? Monday to Friday from 12:00PM to 9:00PM India time with flexibility on standard working hours for time sensitive matters.
? Periodic evening calls with US and EMEA internal auditors and auditees
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