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Audit Supervisor - Global Banking

Charlotte, North Carolina;

Job Description:

The role sits within the AMRS Global Banking and Markets Corporate Audit team at an AVP level and involves working closely with the teams in the APAC, EMEA and LATAM regions.

The role involves playing a lead role in the audits of Global Banking front office. We expect the individual to work as an individual contributor or as an Auditor In-charge on regional / global audits and conduct testing independently but maintain ongoing interaction with the other regional audit team. In particular:

  • Develop an audit plan (e.g. audit scope, audit test plans) based on detailed evaluation of process/business risks & controls. Perform high-quality audit test execution. Clearly and accurately document the execution of specific audit procedures as defined by the projects’ objectives and planned audit approach. Engage with business stakeholders to agree on potential issues / control gaps. Drafts quality and timely audit reports supporting audit opinions and share results with audit and business leaders. Direct and mentor junior team members. Ensure timely completion of audits.
  • Demonstrate professionalism and competence. Stay informed of current economic developments, applicable regulations, risk, processes, and controls relevant to Global Banking incl. M&A, Equity/Debt Capital Markets and Corporate Broking/Sponsor Business.
  • Exercise critical and out of box thinking, analytical skills and professional judgment to influence business partners, senior business managers and peers.  Help business partners to balance their business strategy with appropriate risk management controls.
  • Work in a very detailed manner as well as look broadly across a population and develop connections and themes identifying risks and concerns. 

The Team:

The team provides audit coverage of Global Banking business globally, which covers the full suite of businesses across Business Banking (BB), Global Commercial Banking (GCB), Corporate & Investment Banking (GCIB), Debt and Equity Capital Markets, Global Leasing, and Global Transaction Services (GTS), e.g. Global Payments, Trade Finance.  This is a high visibility role and requires engagement with both global and regional stakeholders across various businesses and functions within the Global Banking Business.

Responsibilities

  • Responsible for executing multiple areas of test work during audit activities
  • Uses analytical skills and/or technical expertise to execute assigned audit testing responsibilities
  • Identifies control deficiencies, discusses with line management and initiates control matter recommendations in assigned test areas
  • Begins to demonstrate basic project management skills
  • Assesses issues for impact to business processes, controls and strategies; recommends severity ratings and escalation of broad themes or trends
  • Begins to establish business partner relationships; primary engagement is with line management
  • Exercises critical thinking and judgment to effectively influence management to improve the control environment
  • Supports employee development efforts, teamwork and a positive and inclusive work environment

Required Skills & Experiences:

  • Minimum 5+ years of Internal Audit/front office/risk management experience
  • Knowledge of Banking products / process and associated risks
  • Able to perform effectively under pressure and comfortable at engaging with senior management at all levels of an organization across regions on complex issues
  • Solid risk assessment, analytical, problem-solving skills, and ability to apply critical thinking
  • Exceptional attention to details
  • Develop team members by providing day to day coaching and guidance when acting as an AIC
  • Excellent verbal and written communication skills
  • Bachelors or equivalent work experience
  • Proficiency in Microsoft Office Products

Desired Skills & Experiences:

  • Familiarity with Global Banking – Investment Banking and Capital Markets knowledge strongly preferred
  • Audit or risk/controls background in financial services
  • Intermediate Analytical / Automation Skills (SQL, SAS, Advanced Excel and Access)
  • Advanced Degree
  • Strong presentation skills

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

2000

Job Description:

The role sits within the AMRS Global Banking and Markets Corporate Audit team at an AVP level and involves working closely with the teams in the APAC, EMEA and LATAM regions.

The role involves playing a lead role in the audits of Global Banking front office. We expect the individual to work as an individual contributor or as an Auditor In-charge on regional / global audits and conduct testing independently but maintain ongoing interaction with the other regional audit team. In particular:

  • Develop an audit plan (e.g. audit scope, audit test plans) based on detailed evaluation of process/business risks & controls. Perform high-quality audit test execution. Clearly and accurately document the execution of specific audit procedures as defined by the projects’ objectives and planned audit approach. Engage with business stakeholders to agree on potential issues / control gaps. Drafts quality and timely audit reports supporting audit opinions and share results with audit and business leaders. Direct and mentor junior team members. Ensure timely completion of audits.
  • Demonstrate professionalism and competence. Stay informed of current economic developments, applicable regulations, risk, processes, and controls relevant to Global Banking incl. M&A, Equity/Debt Capital Markets and Corporate Broking/Sponsor Business.
  • Exercise critical and out of box thinking, analytical skills and professional judgment to influence business partners, senior business managers and peers.  Help business partners to balance their business strategy with appropriate risk management controls.
  • Work in a very detailed manner as well as look broadly across a population and develop connections and themes identifying risks and concerns. 

The Team:

The team provides audit coverage of Global Banking business globally, which covers the full suite of businesses across Business Banking (BB), Global Commercial Banking (GCB), Corporate & Investment Banking (GCIB), Debt and Equity Capital Markets, Global Leasing, and Global Transaction Services (GTS), e.g. Global Payments, Trade Finance.  This is a high visibility role and requires engagement with both global and regional stakeholders across various businesses and functions within the Global Banking Business.

Responsibilities

  • Responsible for executing multiple areas of test work during audit activities
  • Uses analytical skills and/or technical expertise to execute assigned audit testing responsibilities
  • Identifies control deficiencies, discusses with line management and initiates control matter recommendations in assigned test areas
  • Begins to demonstrate basic project management skills
  • Assesses issues for impact to business processes, controls and strategies; recommends severity ratings and escalation of broad themes or trends
  • Begins to establish business partner relationships; primary engagement is with line management
  • Exercises critical thinking and judgment to effectively influence management to improve the control environment
  • Supports employee development efforts, teamwork and a positive and inclusive work environment

Required Skills & Experiences:

  • Minimum 5+ years of Internal Audit/front office/risk management experience
  • Knowledge of Banking products / process and associated risks
  • Able to perform effectively under pressure and comfortable at engaging with senior management at all levels of an organization across regions on complex issues
  • Solid risk assessment, analytical, problem-solving skills, and ability to apply critical thinking
  • Exceptional attention to details
  • Develop team members by providing day to day coaching and guidance when acting as an AIC
  • Excellent verbal and written communication skills
  • Bachelors or equivalent work experience
  • Proficiency in Microsoft Office Products

Desired Skills & Experiences:

  • Familiarity with Global Banking – Investment Banking and Capital Markets knowledge strongly preferred
  • Audit or risk/controls background in financial services
  • Intermediate Analytical / Automation Skills (SQL, SAS, Advanced Excel and Access)
  • Advanced Degree
  • Strong presentation skills

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-22056189

Band: H5

Manages People: No

Travel: Yes, 25% of the time

Manager:

Talent Acquisition Contact:

Sashle Eslaquit

Referral Bonus:

2000

Connecticut pay and benefits information

Connecticut pay range:

$85,000 - $110,000 annualized salary, offers to be determined based on experience, education and skill set.

Discretionary incentive eligible

This role is eligible to participate in the annual discretionary plan. Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors, the performance and contributions of their line of business and/or group; and the overall success of the Company.

Benefits

This role is currently benefits eligible. We provide industry-leading benefits, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.