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  • 招聘职位
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  • Team Lead
    Internal Audit
    Shenzhen

    Team Profile:
    The Internal Audit Department (IAD) is responsible for validating whether the Firm operates in a controlled environment with appropriate risk management processes. We evaluate the adequacy and effectiveness of the Firm's internal controls using a risk-based methodology developed from professional auditing standards and assist in monitoring the Firm's compliance with internal policies and procedures, as well as rules and regulations governing the industry. 

    About The Role:
    We are recruiting a Head of Internal Audit to provide audit coverage for the Firm’s China investment management business.  The successful candidate will perform audits independently across all Firm’s functions. 

    Your primary responsibilities will include:
    • Represent IAD and engage with senior stakeholders to proactively identify emerging risks and assess their impact on the control environment 
    • Perform risk assessment and support the development of the annual audit plan 
    • Prepare audit updates for senior stakeholders, board and risk committees
    • Manage regulatory relationships and requests
    • Plan, execute and report on both risk-based and regulatory audits in accordance with IAD methodology 
    • Carry out closure verification work to ensure remediation actions have been adequately implemented
    • Develop a strong understanding of business processes and be able to communicate issues to management and other IAD colleagues 
    • Keep informed of industry and regulatory developments and apply the information when planning for and executing audits

    REQUIREMENTS:
    Education – Bachelor’s degree (preferably in accounting/finance) required and post-graduate professional qualification preferred (CPA, CIA, CISA, CFA, etc.).
    Experience – Minimum 8 years of relevant experience in audit or 1st and 2nd line of defense control functions (e.g. risk management, compliance, operational risk, technology risk management) within an investment management firm or financial institution.  Strong command of risk management framework is a must.
    Language – Fluency in written and spoken English and Chinese.
    Competency Requirements – Demonstrate critical thinking, strong risk and control mindset, professional skepticism, project management skills, strong analytical and problem-solving skills with the drive to develop independent viewpoint and innovative ideas.  Self-initiated and a proven team player in collaboration and supporting team members. 
    Travel – Limited travel, however, must have ability to travel when required.

  • IA Specialist
    Internal Audit
    Shenzhen

    Team Profile:
    The Internal Audit Department (IAD) is responsible for validating whether the Firm operates in a controlled environment with appropriate risk management processes. We evaluate the adequacy and effectiveness of the Firm's internal controls using a risk-based methodology developed from professional auditing standards and assist in monitoring the Firm's compliance with internal policies and procedures, as well as rules and regulations governing the industry. 

    About The Role:
    We are seeking an experienced internal auditor to join IAD and provide audit coverage for the Firm’s China investment management business.  The successful candidate will perform audits independently across all Firm’s functions. 

    Your primary responsibilities will include:
    • Plan, execute and report on both risk-based and regulatory audits in accordance with Internal Audit methodology 
    • Carry out closure verification work to ensure remediation actions have been adequately implemented
    • Engage with stakeholders through continuous monitoring to proactively identify emerging risks and assess their impact on the control environment 
    • Support Firm’s risk assessment and preparation of senior stakeholder updates
    • Develop a strong understanding of business processes and be able to communicate issues to management and other IAD colleagues 
    • Keep informed of industry and regulatory developments and apply the information when planning for and executing audits

    REQUIREMENTS:
    Education – Bachelor’s degree (preferably in accounting/finance) required and post-graduate professional qualification preferred (CPA, CIA, CISA, CFA, etc.).
    Experience – Minimum 4 years of relevant experience in audit or 1st and 2nd line of defense control functions (e.g. risk management, compliance, operational risk, technology risk management) within an Investment Management firm or financial institution.  Knowledge of investment management business and experience with information technology audit coverage will be an added advantage.
    Language – Fluency in written and spoken English and Chinese.
    Competency Requirements – Demonstrate critical thinking, strong risk and control mindset, professional skepticism, project management skills, strong analytical and problem-solving skills with the drive to develop independent viewpoint and innovative ideas.  Self-initiated and a proven team player in collaboration and supporting team members. 
    Travel – Flexible with travelling within China.

  • Trading Governance Specialist
    Risk Management
    Shenzhen

    RESPONSIBILITIES:    
    • Working closely with traders on frontline compliance and risk control mandates including exceptional trading, fair allocation and best execution
    • Administrate firm’s trading counterparties, and facilitate the investment security pool management process
    • Manage firm’s trading units with brokers, QDII brokers, future companies, inter-dealer brokers and third party fund sales affiliates
    • Vendor management for systems & data providers for firm’s investment and trading activities
    • Trading membership and account administration
    • Transactional data provision, analysis and internal & external reporting
    • Facilitate internal governance processes within the global Morgan Stanley groups
    • Other tasks assigned by the manager


    REQUIREMENTS:
    • Master degree of an economics or finance discipline is preferred, or in disciplines with sufficient financial background
    • Around 3 years working experience in a financial institution
    • Previously work experience in an large international organization preferred
    • Experience working in financial industry, background in asset management or security firms preferred
    • Sufficient IT skills and able to work with investment & trading systems and data
    • Relevant working experience in trading, operations, compliance, risk, audit are preferred
    • Focused, diligent and detailed oriented as a basic requirement
    • Good communication skill required, a team player who’s comfortable in engaging people and drive for results
    • Good English communication skills (written and verbal)
    • Accountability and integrity are important for this role, as well as ability to work independently