EMEA Markets (Equities) Senior Auditor â Associate
EMEA Markets (Equities) Senior Auditor â Associate
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Job Description
The EMEA Equities Audit Team is responsible for assessing the adequacy and effectiveness of the control environment of the Equities business activities in EMEA. This is achieved through a program of audit coverage performed and managed by a team of business and technology audit specialists and coordinated on a global basis with colleagues in other regions.
As an EMEA Markets (Equities) Senior Auditor Associate within the EMEA Equities Audit Team you will plan and execute audit engagements partner closely with global Audit colleagues and business stakeholders and use judgment to strengthen internal controls.
Global Equities business comprises a broad spectrum of products across Cash Equities Prime Financial Services and Equities Derivatives. The EMEA Equities Audit Team is part of the Commercial & Investment Bank (CIB) Markets Audit team which is global in nature with teams located in key locations including: London Paris New York Hong Kong Singapore and Brazil.
Job responsibilities
- Plan execute and document audit reports including risk assessments audit planning audit testing control evaluation report drafting and follow-up and verification of issue closure while ensuring audits are completed timely and within budget.
- Work closely with global Audit colleagues in the assessment of risks and controls early identification of emerging control issues and reporting them timely to Audit management and business stakeholders.
- Documenting the results of audit work comprehensively and concisely
- Partner with stakeholders business management other control groups (i.e. risk management compliance legal) external auditors and regulators establishing strong working relationships while maintaining independence.
- Finalize audit findings and use judgment to provide an overall opinion on the control environment through developing recommendations to strengthen internal controls.
- Take ownership of self-development including stretch assignments to prepare for greater responsibilities and career growth and take initiative to seek out opportunities for continued learning.
- Find ways to drive efficiency with existing technical infrastructure through automation while embracing the innovative opportunities offered by new technologies.
- Champion a culture of innovation and follow How We Do Business Principles.
- Stay current with evolving industry and regulatory changes and analyze impact to business strategies objectives processes and compliance.
- Recognize the confidential nature of Internal Audit communications and access to information; you must be disciplined in protecting the confidentiality and security of information in accordance with firm policy.
Required qualifications skills and capabilities
- Proven internal or external auditing experience or relevant business experience.
- Bachelors degree (or relevant financial services experience) required.
- Solid understanding of internal control concepts with the ability to evaluate and determine the adequacy of controls by considering risks across the transaction lifecycle.
- Excellent verbal and written communication skills.
- Strong interpersonal and influencing skills with the ability to establish credibility and build strong partnerships with business and control partners.
- Strong analytical skills particularly in regard to assessing the probability and impact of an internal control weakness.
- Enthusiastic self-motivated strong interest in learning effective under pressure and willing to take personal responsibility/accountability.
- Flexible to changing business priorities and able to multitask.
- Willing to travel as needed.
Preferred qualifications skills and capabilities
- Experience with internal audit methodology and applying concepts in audit delivery and execution is preferred.
- CPA CIA and/or Advanced Degree in Finance or Accounting is preferred.
Required Experience:
Senior IC
Employment Type
Full-Time
