Audit Supervisor -- Global Markets
Audit Supervisor -- Global Markets
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Salary Not Disclosed
1 Vacancy
Job Description
This job is responsible for overseeing assigned areas of audit work acting as an AuditorinCharge (AIC) and executing on the audit strategy for Lines of Business (LOBs). Key responsibilities include driving riskbased auditing by defining scope and test procedures to evaluate the control environment in conformance with audit policies assessing issues for business impact and recommending severity ratings drafting audit reports and managing business partner relationships. Job expectations include fostering an inclusive work environment and mentoring team members.
Responsibilities:
- Executes audit strategy for the sound application of riskbased auditing by defining audit scope and audit programs and drafting audit reports leveraging automation and innovative methods in a timely and high quality manner
- Acts as AuditorinCharge (AIC) by overseeing audit testing and ensuring it is executed in a timely manner and conforms with quality standards audit policies and procedures
- Assesses impacts to business processes controls and strategies to provide recommendations on severity ratings and escalate broad themes or trends accordingly based on existing business knowledge
- Exercises intellectual curiosity and judgment to effectively influence and challenge management to improve the control environment and drive continuous improvements on audit
- Oversees a team of associates and provides daytoday mentoring and guidance and fosters an inclusive work environment
- Maintains business partner relationships primarily with line management to develop business knowledge
- Exercises sound knowledge of product business and technical expertise to effectively challenge management to improve the control environment
- Utilize your sound analytical skills and Global Markets Electronic Trading expertise to execute assigned audit testing responsibilities.
- Lead the team to provide quality audit reports and you will share audit results with business leaders.
- Exercise critical thinking and judgment to effectively influence in order to improve the control environment.
- Responsible for leading and executing multiple areas of test work during audit activities
- Independently executes audit test work on assigned audits and demonstrates sound project management skills.
- Raises issues and concerns and makes recommendations for severity ratings.
- Assesses issues for impact to business processes controls and strategies recommends severity ratings and escalation of broad themes or trends. Works with team and provides input to draft quality audit reports and supports sharing audit results with business leaders.
- Begins to establish business partner relationships; primary engagement is with line management. Exercises critical thinking and judgment to effectively influence management to improve the control environment.
Requirements
Required Qualifications:6 years of Audit Risk Business Control Compliance and/or Finance
Good understanding of Electronic Trading (e.g. Direct Market Access Algorithm trading and strategies and Sponsored Access)
Plan execute and evaluate audit test plans within riskbased audit methodologies
Bachelors Degree
Employment Type
Full Time
Company Industry
Financial Services / Insurance Agencies and Brokerages / Investment Banking
