Job Description
Job Description
NASC GLOBAL is pleased to collaborate with our valued client in the search for a talented Audit Manager specializing in Global Markets Equities.
This opportunity is based in the vibrant city of New York, NY, and offers a hybrid work model three days in the office and two days working remotely.
Compensation and Benefits : Our client values exceptional talent and is prepared to offer a competitive salary ranging from $140,000 to $170,000, tailored to your experience, education, certifications, and skills.
Responsibilities : In this role, you will oversee specific areas of audit work, 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.
Key responsibilities include :
- Engaging with products such as cash equities (both high touch and low touch electronic trading), derivatives, prime brokerage, stock loan, and structured equity financing products.
- Utilizing your understanding of US equity market regulations, exchanges, and clearing processes to enhance audit effectiveness.
- Defining audit scope and programs while crafting reports that leverage automation and innovative methodologies for timely, high-quality delivery.
- Ensuring compliance with audit policies and quality standards while overseeing audit testing.
- Assessing impacts on business processes and controls, providing strategic recommendations, and escalating significant themes as necessary.
- Exercising intellectual curiosity to constructively challenge management, driving improvements in the control environment.
- Leading a team of associates, offering day-to-day mentorship and fostering an inclusive culture.
- Building strong relationships with business partners to enhance your understanding of the organization’s operations.
- Applying your expertise in trading and hedging strategies, risk management, and regulatory landscapes to influence management positively.
- Supporting regulatory examinations through the preparation of presentation materials and timely responses to inquiries.
- Leveraging data and analytical tools throughout the audit lifecycle to enhance insights and reporting.
- Communicating 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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