My client a top tier investment bank has a number of audits they need to plan and execute across their sales and trading businesses. These are across conduct risk, etrading risk and control governance, trade surveillance, FX Consent order and other front office controls. They are seeking individuals who have a risk and control mindset that are experienced in conducting audits, developing reports and articulate their findings in a credible manner.
Technical expertise in front office audit and comfortable within a sales and trading environment.
- Provide professional and accurate reporting to management for review and maintain high quality audit work papers
- Manage and assist in tracking and reporting the status of open issues and their remediation by management
- Liaise, as needed, with internal and external auditors
- Work in a global diverse organisation with highly knowledgeable professionals across the globe in various time zones.
- Work across all Lines of Business within the Bank and across the Group.
- Grow within the Internal Audit Function or within the First / Second Line of Defense within Finance or other Control functions
Duties & Responsibilities
- Work within a team of professional staff or lead entity audits to assess key risks, design and effectiveness of associated controls.
- Identifying key risk and related controls, and testing controls to ensure design and operating effectiveness
- Identifying control weaknesses, discussing and agreeing these observations with senior management preparing well drafted audit reports and findings, and presenting these findings to senior management.
- Participating in the audit planning process, ensuring that audit documentation is prepared promptly and to a high standard
- Contributing to departmental management activities, and undertaking ad-hoc special projects, as required.