Audit Manager - Global Markets Equities

Location: Hybrid, NY, New York

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
• 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 day-to-day 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 auditor-in-charge.

Desired Qualifications:

• Bachelors 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.

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