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Bank Of America Senior Auditor Global Market Ops NFRR Tax & Credit Reporting United States, North Carolina, Charlotte 953600059
Responsibilities:
Plan, conduct, and contribute to regional and global audit reviews of Global Markets Operations activities (including Non-Financial Regulatory Reporting, Tax and Credit Operations), covering areas such as trade support, collateral management, asset services, non-financial regulatory reporting and settlement.
Identify key risks, document process understandings, and evaluate the adequacy of internal controls over Global Markets Operations activities (including Non-Financial Regulatory Reporting, Tax and Credit Operations).
Assess compliance with enterprise standards as well as key regulatory requirements applicable to Global Markets Operations.
Conduct root-cause analysis, document audit issues identified, and validate that remedial action and key risks have been mitigated.
Perform continuous monitoring and risk assessments of Global Markets Operations activities (including Non-Financial Regulatory Reporting, Tax and Credit Operations)
Required Qualifications:
3+ years of internal audit experience within a global financial institution preferably.
Bachelor’s degree in Finance, Accounting, Economics, Business, or a related field.
Strong understanding of operational processes (trade control, collateral management, asset services, non-financial regulatory reporting, settlement) supporting Global Markets activities (equities, fixed income, FX, commodities, etc.)
Strong knowledge of internal controls and risk management principles.
Excellent analytical and problem-solving skills with a data-driven approach.
Team player with a solution-oriented attitude and strong risk mindset
Strong interpersonal and communication skills, capable of presenting complex findings to senior management.
Experience using audit project management tools and familiarity with data analytics (e.g., Alteryx, Excel, SQL).
Ability to be proactive, work independently and manage the timely delivery of multiple tasks simultaneously in a fast-paced environment.
Foundational knowledge of key financial regulatory requirements applicable to Global Markets Operations(e.g. MiFID II, Dodd-Frank, EMIR, Client Money/Assets and local market rules)
Desired Qualifications:
Professional certifications/audit qualifications (e.g. CIA, CFA, CISA, ACA)
Audit or risk control risk/controls background in financial services
Prior Analytical / Automation Skills (SQL, SAS, Python. Alteryx, Advanced Excel)
Strong Risk mindset (look beyond the form to focus on the substance)
Financial services industry acumen.
Ability to process information and change audit focus quickly in line with risk assessments.
Ability to learn complex subject matter, understand regulatory requirements, and build testing programs to ensure compliance and mitigate risks.
Foundational knowledge of key Financial regulatory requirements applicable to APAC, EMEA & US
Experience in performing end-to-end substantive testing. Understanding of statistical sampling testing approach is a plus.
Skills:
Audit testing execution
Internal Audit Review
Issue Management
Risk Management
Audit Planning
Analytical Thinking
Project Management
Automation
Technical Documentation
Attention to Detail
Business Acumen
Relationship Building
Coaching
Critical Thinking
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