Job Responsibilities
- Lead and participate on audit engagements, from planning to reporting, and produce quality deliverables to both department and professional standards, while ensuring audits are completed timely and within budget
- Partner with stakeholders, business management, other control groups (i.e. risk management, compliance, fraud prevention), external auditors, and regulators, establishing strong working relationships while maintaining independence
- Finalize and communicate audit findings and use judgment to provide an overall opinion on the control environment by developing recommendations to strengthen internal controls
- Implement and execute an effective program of continuous auditing for assigned areas, including monitoring of key metrics to identify control issues and adverse trends
- Effectively manage teams where required, performing timely review of work performed and providing honest and constructive feedback
- Keep abreast of evolving regulatory changes, market events and emerging risks to drive appropriate ongoing audit coverage
- Demonstrate and maintain technical competency, staying up to date with evolving regulatory and industry developments
Required qualifications, capabilities and skills
- 7+ years of internal or external auditing experience, or relevant business experience
- Bachelor's degree (or relevant financial services experience) in Accounting, Finance or related discipline
- Ability to lead audits, work effectively within a matrix organization, manage multiple projects and participate in audit assignments in a team environment, shares information and supports colleagues.
- Enthusiastic, self-motivated and willing to take personal responsibility.
- Thorough understanding of internal control concepts and audit methodology with the ability to evaluate and determine the adequacy and effectiveness of controls.
- Excellent verbal and written communication skills with the ability to present complex and sensitive issues to senior management, and influence change.
- Analytical skills, particularly in regard to assessing the probability and impact of an internal control weakness, combined with interpersonal/ influencing skills to establish credibility and build partnership with business and control partners.
Preferred qualifications, capabilities and skills
- Exposure to Sales and Marketing, Trading or Global Research
- CPA, CIA, CISA, CFA, CFIRS, and/or Advanced Degree in Finance or Accounting
- Knowledge of automated auditing tools considered a plus