Audit Manager - Global Markets Equities
Audit Manager - Global Markets Equities
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$ $ 140000 - 170000
1 Vacancy
Job Description
Location: Hybrid NY New York
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
- Specifically knowledge of trading and hedging strategies supervisory procedures P&L attribution risk management operational processes and regulatory landscape strongly preferred.
- Experience in validation of audit and regulatory issues. Support in preparation of regulatory exams by creating presentation materials and providing timely responses to inquiries.
- Leverage available data and analytical tools during the planning fieldwork and reporting phases of audit delivery.
- Effective influence skills in communicating findings. This individual must be an articulate and effective communicator both verbally and in writing.
Required Qualifications:
- Minimum 6 years of audit experience in areas related to capital markets equity and equity linked products derivatives front office risk management laws and regulations banking regulations local standards and internal policies.
- Minimum 2 years of experience leading audits and performing in the role of auditorincharge.
Desired Qualifications:
- Bachelors or Masters Degree in Business Economics Finance or other quantitative field or Master of Business Administration.
- Chartered Financial Analyst (CFA) Financial Risk Manager (FRM) Certified Internal Auditor (CIA) or relevant securities licenses preferred.
- Intermediate Analytical / Automation Skills (SQL Alteryx Advanced Excel and Access)
- Experience of working in large global financial institution preferably a bank or large brokerage house.
Skills:
- Analytical Thinking
- Audit Planning
- Internal Audit Review
- Issue Management
- Risk Management
- Business Acumen
- Coaching
- Project Management
- Relationship Building
- Written Communications
- Attention to Detail
- Automation
- Critical Thinking
- Technical Documentation
Employment Type
Full Time
