Audit Manager

5 days ago


Brooklyn, Wisconsin, United States NASC GLOBAL Full time
Job Overview

NASC GLOBAL is seeking a seasoned Audit Manager to lead our Global Markets Equities team. This role offers a unique opportunity to work in a hybrid environment, with three days in the office and two days working remotely.


Key Responsibilities
  • Oversee audit work in specific areas, taking the lead as Auditor-in-Charge (AIC) to implement the audit strategy for various Lines of Business (LOBs), particularly within Global Markets Equities, Futures and Options, and Research.
  • Engage with products such as cash equities, derivatives, prime brokerage, stock loan, and structured equity financing products.
  • Utilize expertise in US equity market regulations, exchanges, and clearing processes to enhance audit effectiveness.
  • Define audit scope and programs while crafting reports that leverage automation and innovative methodologies for timely, high-quality delivery.
  • Ensure compliance with audit policies and quality standards while overseeing audit testing.
  • Assess impacts on business processes and controls, providing strategic recommendations, and escalating significant themes as necessary.
  • Exercise intellectual curiosity to constructively challenge management, driving improvements in the control environment.
  • Lead a team of associates, offering day-to-day mentorship and fostering an inclusive culture.
  • Build strong relationships with business partners to enhance understanding of the organization's operations.
  • Apply expertise in trading and hedging strategies, risk management, and regulatory landscapes to influence management positively.
  • Support regulatory examinations through preparation of presentation materials and timely responses to inquiries.
  • Leverage data and analytical tools throughout the audit lifecycle to enhance insights and reporting.
  • Communicate findings effectively to ensure impactful dialogue.

Qualifications
  • Minimum of 6 years of audit experience in capital markets, equity products, derivatives, and risk management.
  • Bachelor's or Master's Degree in Business, Economics, Finance, or a related quantitative field, or an MBA.
  • Proficiency in analytical tools and automation, including SQL, Alteryx, and advanced Excel/Access.
  • Experience within large, global financial institutions, ideally in banking or brokerage.
  • At least 3 years of leadership experience as auditor-in-charge.

Desired Technical Skills
  • Proficiency in data analytics tools such as Python, R, or Tableau for enhanced audit reporting.
  • Experience with automation platforms like UiPath or Blue Prism.
  • Familiarity with risk assessment software such as Archer or LogicManager.
  • Proficiency in audit management systems like AuditBoard or TeamMate.

Desired Certifications
  • Certified Information Systems Auditor (CISA)
  • Certified Fraud Examiner (CFE)
  • Chartered Alternative Investment Analyst (CAIA)
  • Financial Modeling & Valuation Analyst (FMVA)
  • Chartered Financial Analyst (CFA)
  • Financial Risk Manager (FRM)
  • Certified Internal Auditor (CIA)

Req Number 2372


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