Auditor jobs

This job is responsible for performing test work during moderately complex audit activities for Lines of Business (LOBs). Key responsibilities include designing and executing audit tests to evaluate the control environment, and assessing issues for business impact and recommending severity ratings under the supervision of senior team members.

Responsibilities:

• Executes audit strategy for the sound application of risk-based auditing by defining audit scope and audit program, and leverages automation and innovative methods in a timely and high quality manner
• Identifies control deficiencies, discusses with line management, and initiates control matter recommendations
• Establishes business partner relationships, primarily with line management, to develop business knowledge
• Assesses impacts to business processes, controls, and strategies to provide recommendations on severity ratings
• Exercises sound judgment to effectively influence management to improve the control environment while developing knowledge of product, business, and technical expertise
• Develops skills to use innovative tools to complete audit activities more efficiently (e.g., testing)

Required Qualifications:

• Highly preferred to have 2+ years of Audit experience
• Strong Communication Skills
• Bachelors Degree

Desired Qualifications:

• Ideal candidate would have experience with financial services audit/compliance
• Prior experience in consumer banking is definitely a plus.

Skills:

• Analytical Thinking
• Attention to Detail
• Internal Audit Review
• Risk Management
• Technical Documentation
• Automation
• Business Acumen
• Issue Management
• Project Management
• Critical Thinking
• Relationship Building
• Written Communications

Job Description:

This job is responsible for performing test work during moderately complex audit activities for Lines of Business (LOBs). Key responsibilities include designing and executing audit tests to evaluate the control environment and assessing issues for business impact and recommending severity ratings under the supervision of senior team members. The focus of testing will be monitoring and identifying emerging risks to assess compliance with Bank Secrecy Act (BSA) / Anti-Money Laundering regulatory requirements.

Responsibilities:

• Executes audit strategy for the sound application of risk-based auditing by defining audit scope and audit program, and leverages automation and innovative methods in a timely and high quality manner

• Identifies control deficiencies, discusses with line management, and initiates control matter recommendations

• Establishes business partner relationships, primarily with line management, to develop business knowledge

• Assesses impacts to business processes, controls, and strategies to provide recommendations on severity ratings

• Exercises sound judgment to effectively influence management to improve the control environment while developing knowledge of product, business, and technical expertise

• Develops skills to use innovative tools to complete audit activities more efficiently (e.g., testing)

• Demonstrates the ability to work independently and within a team environment to deliver high-quality audit testing

• Willingness to learn new subject matters in the Financial Crime regulatory compliance space and apply learnings to assist the company in risk identification and mitigation

• Uses analytical skills to identify trends, themes, and emerging risks both internally and externally in order to inform the audit plan and improve quality of targeted testing

Skills:

• Analytical Thinking

• Attention to Detail

• Internal Audit Review

• Risk Management

• Technical Documentation

• Automation

• Business Acumen

• Issue Management

• Project Management

• Critical Thinking

• Relationship Building

• Written Communications

Required Qualifications:

• 3+ years of general auditing experience with a finance or control function, internal audit function or public accounting firm, preferably within the Banking or Financial Services industry

• Intermediate Analytical / Automation Skills (SQL, SAS, Advanced Excel and Access)

• Ability to execute audit test plans within a risk-based audit methodology

• Sound organizational, analytical, oral and written communication skills

• Self-starter, desire to learn able to teach others, positive attitude, exhibits flexibility

• Ability to work in a very detailed manner

• Experience in data visualization and reporting

Desired Qualifications:

• Bachelor’s degree or advanced degree

• Certifications: CAMS, CIA

• Experience in Financial Crime Regulatory Compliance (BSA/AML)

• Experience in Audit

Responsibilities for this role include:

• Assessing the control environment effectiveness of market risk measurement and valuation processes within Global Markets Risk and Global Markets, providing independent challenge to existing approaches as needed.

• Working flexibly as part of the global team on audit projects as required, including providing subject matter expert support to other teams within Corporate Audit.

• Performing thorough technical analyses and summarizing results in concise and impactful report conclusions for distribution and presentation to senior management and bank regulators.

• Proposing and executing test programs as part of day-to-day audit work.

• Developing and managing independent relationships with stakeholders across first and second lines.

• Maintaining timely and relevant knowledge and awareness of business, industry, and regulatory trends, best practices, and standards.

• Close work with a support development team to enhance and automate testing by leveraging new technologies and artificial intelligence.

Master’s degree in related field or equivalent work experience

Required Qualifications:

• Has a minimum 5-8+ years of experience in risk management, price verification, quant or trading group in a bank or other financial institution, or in audit covering those functions, or minimum 5-8+ years of alternative relevant experience.

• Has practical experience managing, performing, and/or assessing traded market price risk processes, e.g. market risk exposure measurement, management, or reporting; limit setting, monitoring, or management; regulatory capital requirement calculation; or stress testing.

• Has sustained experience effectively communicating with first-line markets trading and second-line risk management audiences/stakeholders.

• Has strong knowledge of financial instruments and financial risk management principles, including exposure to Global Markets products, both derivatives and securities; a deep understanding and knowledge of market risk measures and fair valuation; and a strong comprehension of financial modelling fundamentals.

• Understands internal audit’s role and objectives and how risk-based auditing is used to assess business process control environment effectiveness.

• Has strong presentation skills, with the ability to communicate clearly and effectively both verbally and in writing; ability to produce high quality technical documentation.

• Has the ability to problem solve; the ability to work both as a self-starting individual and as part of an integrated team; excellent attention to detail; a positive outlook and an ability to work in a fast-paced environment/multi-task under pressure; and is an intellectually curious, critical thinker.

Desired Qualifications:

• An advanced degree in a quantitative field (e.g. PhD or Master's degree in Statistics, Economics, Mathematics, Finance, Engineering, Physics, Computer Science, or related field).

• Experience in computational, engineering, or scientific research or development roles.

• Strong, hands-on programming skills using Python, R and/or C++/C#, with ability to develop code to conduct independent testing and replicate results, and/or the ability to use data analytics applications.

• Knowledge of market risk capital regulation (Basel III implementation through the US Market Risk Rule and the Capital Requirements Regulation in EU and UK jurisdictions), awareness of requirements in the Fundamental Review of the Trading Book and the wider regulatory environment (e.g., Sound Practices for Model Risk Management, SR 11-7).

• Bachelor's degree in a quantitative discipline or equivalent practical experience.
• 4 years of experience in business intelligence, analytics, or quantitative analysis related fields.
• Experience in Programming and SQL.

• CIPP, CISSP, CISA or other related privacy or audit certifications.
• PMP certification or experience with project management.
• Experience performing risk assessments, designing or implementing internal controls and auditing platforms, hardware, content moderation, online advertising, cloud technologies, content licensing, e-commerce, privacy, security and AI.
• Experience coding in Python, Java, C++ or comparable language, evaluating for risk and design.
• Experience in relational database analysis (e.g., SQL) with knowledge of structures and principles of object-oriented programming.
• Knowledge of internet technologies (e.g., cookies, APIs, data storage, encryption, access management) and privacy concepts (e.g., consent, collection, data minimization, data deletion, use limitation).