Audit Supervisor
Audit Supervisor
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
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
Employment Type
Full Time
