Audit Supervisor

Job Description:

• This role will use expertise gained auditing Global Markets or closely related areas (i.e.: market risk management product control or GM specific compliance) to execute audit work with a focus on supervision and trade surveillance.
• This experience may not come from a classic Audit background but rather from transferrable skills from a first or second line function associated with Sales and Trading.
• This role will build on a good working knowledge of market conduct risk and market abuse scenarios gained for example while working on FX consent order remediation or validation.

Responsibilities:

• Responsible for executing multiple areas of test work during audit activities.
• Use analytical skills and/or technical expertise to execute assigned audit testing responsibilities and identify opportunities to automate testing or create continuous monitoring.
• Independently execute audit test work on assigned audits in a timely manner and with high quality.
• Identify control deficiencies discusses with line management and initiates control matter recommendations in assigned test areas.
• Demonstrate project management skills.
• Raise issues and concerns and make recommendations for severity ratings.
• Assess issues for impact to business processes controls and strategies; recommends severity ratings and escalation of broad themes or trends engages in discussions about risk and demonstrates business knowledge.
• Establish business partner relationships; primary engagement is with line management.
• Exercise critical thinking and judgment to effectively influence management to improve the control environment.
• Strive to improve processes and challenge the status quo to improve existing operating environment.

Required Qualifications:

• 4 years compliance/business controls/risk management role with specific experience/coverage of trading desk activities across either Equities or Fixed Income Currencies and Commodities asset classes.
• Working knowledge of Global Markets with a focus on market conduct risk related supervision and trade surveillance

Skills:

• Internal Audit Review
• Issue Management
• Risk Management
• Audit Planning
• Analytical Thinking
• Project Management
• Automation
• Technical Documentation
• Attention to Detail
• Business Acumen
• Relationship Building
• Coaching
• Critical Thinking
• Written Communications

Audit