Audit Manager - Global Markets Equities

Job Summary

This job is responsible for overseeing assigned areas of audit work acting as an Auditor-in-Charge (AIC), and executing on the audit strategy for Lines of Business (LOBs).

Responsibilities

• Executes audit strategy for the sound application of risk-based 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 Auditor-in-Charge (AIC) by overseeing audit testing and ensuring it is executed in a timely manner and conforms with quality standards, audit policies, and procedures.
• Affords assessments to business processes, controls, and strategies to provide recommendations on severity ratings and escalates 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 day-to-day mentoring and guidance and fosters an inclusive work environment.
• Maintains business partner relationships, primarily with line management, to develop business knowledge.
• Leverages available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery.
• Effective influence skills in communicating findings.

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 auditor-in-charge.
• CFA required.

Desired Qualifications

• Bachelor's or Master's 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.