Technology Audit Executive Director - Finance and Capital Planning

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

The Internal Audit Department (IAD), which reports directly to the Board Audit Committee, is responsible for validating whether the Firm operates in a controlled environment with appropriate risk management processes, and plays a pivotal role in improving the quality and responsiveness of the global infrastructure and applications that support the Firm’s business processes. The department comprises Business, Risk and Technology auditors. Business and Risk auditors focus on understanding the risks that the businesses face and the controls to mitigate those risks. Technology auditors focus on the application controls supporting business processes, systems development, application security and entitlements, production management, and technology governance. Both groups are responsible for understanding, analyzing and testing the controls to mitigate risk and protect the franchise.

Position Description

The Finance and Capital Planning Technology Audit Coverage Director is responsible for providing audit assurance to internal and external stakeholders, including technology and business management, Board Audit Committee members and regulators. This individual reports directly to the Global Technology Audit Head and is responsible for managing a team of ten people globally. The Finance and Capital Planning Technology Audit Coverage Director will work with the other global Technology Audit Directors and audit management to determine and provide the appropriate level of audit coverage for the Firm’s finance, treasury and capital planning technology globally. Specifically, he/she will lead a team in auditing the applications and systems supporting the Finance and Capital Planning business functions and will be responsible for managing audit resources, interacting with senior technology management and reporting results to senior management across the Firm.

Primary Responsibilities

• Working with other key IT Audit colleagues to determine and deliver on the strategy of the Technology Audit group
• Taking a strategic approach to risk identification, audit assignment planning and testing in line with plans for organizational growth and technology transformation
• Working with the department’s International Audit Directors to build and maintain a strong, credible relationship with senior management, the Board Audit Committee and regulators
• Leading discussions with business leaders regarding audit findings and controls that have to be implemented while offering a value-added, solutions-oriented risk assessment
• Advising management on matters concerning risk, controls and corporate governance, and participating in related committees
• Delivering the annual audit plan on time and in accordance with departmental quality assurance standards
• Establishing and maintaining a process to monitor control issues previously recorded, verifying the effectiveness of corrective actions, and reporting on the status of outstanding issues
• Suggesting, as required, new techniques, methods and practices to improve audit effectiveness and efficiency
• Maintaining a requisite knowledge of current trends and technical issues impacting audit and areas of audit responsibilities
• Developing and maintaining a cooperative, collaborative and productive, team-driven environment
• Promoting effective communication and information exchange among the audit group, business units and functional areas that are audited while maintaining independence
• Ensuring that training and development programs are in place for staff to improve their skills and grow professionally
• Inspiring, leading, developing and growing the team in order to meet departmental goals and objectives

Experience

The successful individual will have experience and confidence in dealing with senior management, audit committee members and regulators. The candidate is expected to be articulate, sharp and commercially astute and have audit experience in a business of comparable size and complexity. Experience in a technology environment, especially at the application/system controls, is important. The individual must also be able to balance technical skills with strong audit skills and superior stakeholder management abilities. Most important, is his/her ability to deliver results within aggressive timeframes and to manage changing audit priorities

QUALIFICATIONS

Skills Required (essential)

• Strong understanding of application audits and systems supporting the finance and capital planning businesses functions
• Strong understanding of regulations, controls and risk issues relating to technology
• Strong experience in risk-based auditing within financial services
• Ability to manage multiple priorities and adhere to the established audit plan
• Ability to focus on and align strategic priorities with those of the Internal Audit Department and key stakeholders
• A commercial and solutions-based approach to technology audit
• Excellent leadership, interpersonal and communications skills
• An aptitude for establishing and maintaining effective and trusted relationships
• Presence and the ability to work successfully with senior management, the Board Audit Committee, Chief Information Technology and the senior officers of the respective groups
• Ability to quickly solve problems in a team environment
• Minimum of 15 years of experience in a related field

Skills Desired

• Ambitious
• Results-focused
• Action-oriented
• Self-motivated
• Organized, analytical and detail-oriented
• B.S. in Computer Information Systems or a business-related field (e.g., Finance or Accounting) with a focus on business reporting, presentation and data analytics
• CISA or other technology or audit certifications

For further information, and to apply, please visit our website via the “Apply” button below.