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Audit Supervisor

New York, New York

Job Description:

Independently executes assigned audit activities and supervises audits 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 equity financing products and custody services.  Familiarity with US equity market regulations, exchanges/execution venues, clearing and settlement processes is preferred.

Responsible for multiple projects simultaneously. Utilizes sound, seasoned analytical skills and possesses product, business, and technical expertise to execute assigned responsibilities. Coordinates, schedules, scopes and leads team activities on audits (incl. large, cross-functional). Leads analysis of control deficiencies as well as expansion and refinement of documentation for more complex control deficiencies to drive actionable business impact, influences management on sufficiency of correctives actions, recommends audit rating. Implements risk based audit strategy. Exercises judgment and critical thinking to influence business partners. Identifies control trends in assigned business areas as well as impact to the business and to the Bank overall by applying deep and broad business acumen. Coaches/trains team in execution of the audit.

Required Skills & Experiences:

  • Minimum 2-3+ years of Audit, Risk, Business Control, Compliance, Finance or other relevant experience

  • Ability to plan, execute and evaluate audit test plans within a risk based audit methodology.

  • Sound organizational, analytical, oral and written communication skills.  

  • Ability to successfully communicate to influence management and lead change in both strategic and tactical   initiatives. 

  • Self-starter, desire to learn able to teach others, positive attitude, exhibits flexibility and intellectual curiosity.

  • Strong analytical skills.  Ability to analyze large amounts of data and turn it into usable information.

  • Ability to work in a very detailed manner as well as to look broadly across a population and develop connections and themes identifying risk and concerns.

  • Ability to juggle multiple work efforts and to quickly change direction, as needed

  • Proficiency in Microsoft Office Products

  • Ability to converse with management on all levels

  • Excellent written and oral communication skills, ability to converse with management on all levels.

  • Bachelor’s degree or relevant experience

Desired Skills & Experiences:

  • Familiarity with Global Markets - Fixed Income, Currencies and Commodities lines of business, including trading and hedging strategies, supervisory procedures, P&L attribution, risk management, operational processes and regulatory landscape strongly preferred.

  • Audit or risk control risk/controls background in financial services

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

  • Advanced degree

  • CPA preferred

  • Strong presentation skills

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

Independently executes assigned audit activities and supervises audits 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 equity financing products and custody services.  Familiarity with US equity market regulations, exchanges/execution venues, clearing and settlement processes is preferred.

Responsible for multiple projects simultaneously. Utilizes sound, seasoned analytical skills and possesses product, business, and technical expertise to execute assigned responsibilities. Coordinates, schedules, scopes and leads team activities on audits (incl. large, cross-functional). Leads analysis of control deficiencies as well as expansion and refinement of documentation for more complex control deficiencies to drive actionable business impact, influences management on sufficiency of correctives actions, recommends audit rating. Implements risk based audit strategy. Exercises judgment and critical thinking to influence business partners. Identifies control trends in assigned business areas as well as impact to the business and to the Bank overall by applying deep and broad business acumen. Coaches/trains team in execution of the audit.

Required Skills & Experiences:

  • Minimum 2-3+ years of Audit, Risk, Business Control, Compliance, Finance or other relevant experience

  • Ability to plan, execute and evaluate audit test plans within a risk based audit methodology.

  • Sound organizational, analytical, oral and written communication skills.  

  • Ability to successfully communicate to influence management and lead change in both strategic and tactical   initiatives. 

  • Self-starter, desire to learn able to teach others, positive attitude, exhibits flexibility and intellectual curiosity.

  • Strong analytical skills.  Ability to analyze large amounts of data and turn it into usable information.

  • Ability to work in a very detailed manner as well as to look broadly across a population and develop connections and themes identifying risk and concerns.

  • Ability to juggle multiple work efforts and to quickly change direction, as needed

  • Proficiency in Microsoft Office Products

  • Ability to converse with management on all levels

  • Excellent written and oral communication skills, ability to converse with management on all levels.

  • Bachelor’s degree or relevant experience

Desired Skills & Experiences:

  • Familiarity with Global Markets - Fixed Income, Currencies and Commodities lines of business, including trading and hedging strategies, supervisory procedures, P&L attribution, risk management, operational processes and regulatory landscape strongly preferred.

  • Audit or risk control risk/controls background in financial services

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

  • Advanced degree

  • CPA preferred

  • Strong presentation skills

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21048392

Band: H5

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

Tammy Horton

Referral Bonus:

0

Street Address

Primary Location:
1133 Ave of the Americas, NY, New York, 10036