This job is responsible for overseeing assigned areas of audit work acting as an Auditor-in-Charge (AIC), and executing on the audit strategy for Lines of Business (LOBs), primarily of Global Markets Equities, Futures and Options, and Research. Products include cash equities (high touch and low touch electronic trading), derivatives, prime brokerage, stock loan and other structured equity financing products. Familiarity with US equity market [ "\t. Executes audit strategy for the sound applica... more details
job summary: This job is responsible for overseeing assigned areas of audit work acting as an Auditor-in-Charge (AIC), and executing on the audit strategy for Lines of Business (LOBs), primarily of Global Markets Equities, Futures and Options, and Research. Products include cash equities (high touch and low touch electronic trading), derivatives, prime brokerage, stock loan and other structured equity financing products. Familiarity with US equity market
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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\t
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\t
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\t
Exercises intellectual curiosity and judgment to effectively influence and challenge management to improve the control environment and drive continuous improvements on audit\t
Oversees a team of associates and provides day-to-day mentoring and guidance and fosters an inclusive work environment\t
Maintains business partner relationships, primarily with line management, to develop business knowledge\t
Exercises sound knowledge of product, business, and technical expertise to effectively challenge management to improve the control environment\t
Specifically, knowledge of trading and hedging strategies, supervisory procedures, P&L attribution, risk management, operational processes and regulatory landscape strongly preferred.\t
Experience in validation of audit and regulatory issues. Support in preparation of regulatory exams by creating presentation materials and providing timely responses to inquiries.\t
Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery.\t
Effective influence skills in communicating findings. This individual must be an articulate and effective communicator, both verbally and in writing.
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