Audit Manager - Global Markets - Electronic Trading

Job Description

Job Description

This is a Hybrid position for an Audit Manager who is responsible for overseeing assigned areas of audit work acting as an Auditor-in-Charge (AIC), and executing the audit strategy for Lines of Business (LOBs).

Familiarity with US equity market regulations, exchanges / execution venues, and clearing and settlement processes is preferred.

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 promptly and conforms with quality standards, audit policies, and procedures
• Assesses impacts on 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 in audit
• Oversees a team of associates 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
• Specifically, knowledge of trading and hedging strategies, supervisory procedures, P&L attribution, risk management, operational processes, and regulatory landscape is strongly preferred.
• Experience in validation of audit and regulatory issues. Support in preparation of regulatory exams by creating presentation materials and providing timely responses to inquiries.
• Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery.
• Effective influence skills in communicating findings. This individual must be an articulate and effective communicator, both verbally and in writing.

Required Qualifications :

• 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.

Desired Qualifications :

• Bachelor's degree or relevant experience
30+ days ago