Internal Audit, Global Banking and Markets Vice President, Salt Lake City

Responsibilities

• Maintain an in-depth understanding of the firm's various regulatory compliance programs
• Manage and execute audits focused on the firm's compliance with the regulatory and internal policy requirements including planning and scoping, fieldwork and audit test plans, and reporting
• Drive walkthroughs with stakeholders to perform control design assessments
• Lead audit testing to ensure audit fieldwork is focused on the right areas and documentation meets high quality standards
• Cook up coordination with business and engineering audit teams to identify risks, assess mitigating controls, and make recommendations on improving the control environment
• Communicate and report on the audit conclusions and findings, and present to Internal Audit senior management and business stakeholders
• Follow-up on open audit issues and validate their resolution
• Participate in department-wide initiatives aimed at continually improving Internal Audit's processes and supporting infrastructure
• Develop and maintain key stakeholder relationships and regularly engage with the business during the year to assess changes in the risk and control environment

Requirements

• Bachelor's degree (or higher) in a relevant discipline
• 8-10 years of relevant work experience in Internal Audit, Compliance, or Risk functions
• Familiarity with applicable SEC, FINRA, CFTC and NFA, Federal Reserve or Global Banking rules
• Prior experience in and an understanding of swaps and other derivative products is preferred

Skills And Relevant Experience

• Highly motivated, delivery focused, analytical and detailed self-starter with proven record in a team-based environment
• Excellent communications skills (oral and written) to clearly articulate issues and ideas with different levels across stakeholders
• Strong leadership, interpersonal, and relationship management skills
• Relevant certification or industry accreditation (e.g., CPA, CIA) is a plus
• Experience managing audit engagements and teams across locations
• Proficiency in Microsoft Office tools such as Excel, Word, PowerPoint
• Experience with Data Analytics tools and techniques
• Proficiency in Microsoft Office Suite
• Knowledge of financial markets, products and financial and non-financial risk management (Market, Credit, Liquidity, Operational and Counterparty risk)

Qualifications

• Strong analytical skills, willing and able to learn new businesses and processes quickly