VP, Auditor, Markets and Wealth Services

About the role

In this role, you’ll make an impact in the following ways:

• Lead or participate in the delivery of complex and challenging global audit assignments, with a primary focus on the Clearing Broker Dealer.
• Drive or participate in all phases of audit project execution including planning, fieldwork, and reporting in accordance with audit methodologies.
• Perform walkthroughs with process owners; document results in narratives/flowcharts; identify and document risks and controls; develop and execute testing strategy; prepare supporting workpapers; and document test exceptions and conclusions.
• Elevate potential audit issues to the Audit Manager and business management as soon as they are identified.
• Identify and draft meaningful issues impacting the business under review and challenge management to develop appropriate remedial actions to address the issues identified.
• Follow-up on remedial actions to ensure corrective actions have been appropriately implemented and where necessary, test the design, operating effectiveness, and sustainability of implemented actions.
• Build strong relationships with key stakeholders in the business and risk management areas and with colleagues throughout the global Internal Audit team.
• Engage in and document Continuous Monitoring activities to identify new or changing risk conditions for the covered businesses.
• Apply advanced analytical problem-solving skills and assist others in solving complex issues and identifying innovative solutions.
• Contribute technical or specialized skill sets or business knowledge not readily available elsewhere in the department to solve audit issues.
• Identifies opportunities for the use of AI/automation and actively participate in advancing recommendations for software support requests.
• Maintain up-to-date knowledge of the industry, best practice and regulatory requirements.
• No direct reports. Demonstrate leadership through work guidance and training of less experienced peers and through advice to assigned clients.
• Contribute to the overall achievement of team goals.
• Carry out other ad-hoc tasks and projects as directed by audit management.

Qualifications

• Bachelor’s degree or an equivalent combination of education and relevant work experience.
• Degree in Accounting, Finance, or another discipline requiring strong analytical and critical‑thinking skills.
• Certified Internal Auditor (CIA) designation or other risk‑management certifications preferred.
• 7–10 years of experience in financial services or banking, specifically within Internal Audit or Risk and Compliance Management.
• Technical Expertise in Clearing Broker‑Dealer Operations
  • Execution processes: Order routing, trade capture, and execution mechanics across various asset classes.
  • Clearing operations: Trade comparison, affirmation, matching, and novation; understanding how clearing brokers mitigate counterparty risk and ensure post‑trade data accuracy.
  • Settlement processes: End‑to‑end settlement cycles (e.g., T+1/T+2), including DVP/FOP, settlement instructions,