Audit Manager
4 weeks ago
This role is responsible for overseeing assigned areas of audit work, acting as an Auditor-in-Charge (AIC), and executing on the audit strategy for Lines of Business (LOBs). Key responsibilities include driving risk-based auditing by defining scope and test procedures to evaluate the control environment in conformance with audit policies, assessing issues for business impact and recommending severity ratings, drafting audit reports, and managing business partner relationships. Job expectations include fostering an inclusive work environment and mentoring team members.
Key Responsibilities:
- Executes audit strategy for the sound application of risk-based auditing by defining audit scope and audit programs, and drafting audit reports leveraging automation and innovative methods in a timely and high-quality manner.
- Acts as Auditor-in-Charge (AIC) by overseeing audit testing and ensuring it is executed in a timely manner and conforms with quality standards, audit policies, and procedures.
- Assesses impacts to business processes, controls, and strategies to provide recommendations on severity ratings and escalate broad themes or trends accordingly based on existing business knowledge.
- Exercises intellectual curiosity and judgment to effectively influence and challenge management to improve the control environment and drive continuous improvements on audit.
- Oversees a team of associates and provides day-to-day mentoring and guidance and fosters an inclusive work environment.
- Maintains business partner relationships, primarily with line management, to develop business knowledge.
- Exercises sound knowledge of product, business, and technical expertise to effectively challenge management to improve the control environment.
- Utilizes sound analytical skills and Global Markets Electronic Trading expertise to execute assigned audit testing responsibilities.
- Leads the team to provide quality audit reports and shares audit results with business leaders.
- Exercises critical thinking and judgment to effectively influence, in order to improve the control environment.
- Responsible for leading and executing multiple areas of test work during audit activities.
- Independently executes audit test work on assigned audits and demonstrates sound project management skills.
- 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. Works with team and provides input to draft quality audit reports and supports sharing audit results with business leaders.
- 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.
- Minimum 6-7+ years of Audit, Risk, Business Control, Compliance, Finance, or other relevant experience.
- Must have a good understanding of Electronic Trading including Direct Market Access, Algorithm trading & Strategies, and Sponsored Access.
- 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.
- Has knowledge of financial instruments and financial risk management principles, including exposure to Global Markets products.
- Bachelor's degree or relevant experience.
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