Audit Manager – Global Markets / Equities

Job Description:

Responsible for planning, scoping, executing audits and leading audit engagement teams for Global Equities. Utilizes sound analytical skills and possesses product, business, and technical expertise to execute assigned responsibilities. Leads analysis of control deficiencies as well as expansion and refinement of documentation for control deficiencies to drive actionable business impact, influences management on sufficiency of correctives actions, recommends audit rating.   Independently executes audit testwork as well as manage all aspects of audit engagements. Raises issues and concerns and makes recommendations for severity ratings. Assesses issues for impact to business processes, controls and strategies, recommends severity ratings and escalation of broad themes or trends. Prepares quality audit reports and supports Senior Audit Manager in communicating and presenting audit results to senior business leaders. Establish business partner relationships; primary engagement is with line management. Exercises critical thinking and judgment to effectively influence management to improve the control environment. Actively supports peers and guides audit team with development as part of on the job training during audit execution. Fosters a positive and inclusive work environment. This role reports to the Senior Audit Manager. 

Enterprise Description:

Provides expertise, advice and counsel based on advanced business and/or audit experience to a complex business and/or across several business groups. Provides leadership for projects and team activities. Proactively implements audit strategy for the sound application of risk based practices by defining audit scope, audit program, and review and test procedures. Exercises judgment and influences senior business managers and peers. Helps business partners balance their business strategy with appropriate risk management controls. Contributes to the development, implementation and communication of Audit's missions, goals and strategies. Interacts with regulatory agencies, external consultants and other internal risk management groups.

Required Skills:

• At least 7 years of financial services sales and trading audit or public accounting firm experience, preferably within the Banking or Financial Services industry OR strong knowledge of/experience in Global Markets/Investment Banking lines of business and support functions e.g. Product Control, Middle Office, Risk Management, Compliance, Operations, Settlement and Collateral management.
• Knowledge of Equities products and markets including derivatives, prime brokerage, futures and options.
• Candidate should also be familiar with key securities industry regulations e.g. Volcker, DF Real Time Reporting, SEC Capital and Client Asset rules and US market structure as well as the key processes and controls within the Business Supervision, Market Conduct, Finance, Operations and Middle Office functions.
• Awareness of basic application controls, as well as proficiency with spreadsheets and other analytical tools would be an advantage.
• Understanding of applicable regulatory rules.
• Excellent verbal and written communication skills.
• Ability to interact with staff and managers across audit teams as well as key stakeholders in business areas including Front Office, Finance, Operations and Middle Office functions.
• Ability to work in a team environment and supervise multiple project teams.
• Bachelors or equivalent work experience. Masters preferred

Desired Skills:

• Awareness of basic application controls
• Intermediate proficiency at using spreadsheets
• Familiarity with key US laws and regulations pertaining to banking and broker/dealer securities trading & sales activities.

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