Audit Manager - Global Markets - Electronic Trading

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Job Description :

This job isresponsible for overseeing assigned areas of audit work acting asan AuditorinCharge (AIC) and executing on the audit strategy forLines of Business (LOBs).

Key responsibilities include drivingriskbased auditing by defining scope and test procedures toevaluate the control environment in conformance with audit policiesassessing issues for business impact and recommending severityratings drafting audit reports and managing business partnerrelationships.

Job expectations include fostering an inclusive workenvironment and mentoring team members.

Responsibilities :

• Executes audit strategy for the soundapplication of riskbased auditing by defining audit scope and auditprograms and drafting audit reports leveraging automation andinnovative methods in a timely and high quality manner
• Acts as AuditorinCharge (AIC) by overseeing audit testingand ensuring it is executed in a timely manner and conforms withquality standards audit policies and procedures
• Assesses impacts to business processes controls andstrategies to provide recommendations on severity ratings andescalate broad themes or trends accordingly based on existingbusiness knowledge
• Exercises intellectualcuriosity and judgment to effectively influence and challengemanagement to improve the control environment and drive continuousimprovements on audit
• Oversees a team ofassociates and provides daytoday mentoring and guidance and fostersan inclusive work environment
• Maintainsbusiness partner relationships primarily with line management todevelop business knowledge
• Exercises soundknowledge of product business and technical expertise toeffectively challenge management to improve the controlenvironment
• Utilize your sound analytical skills and Global Markets ElectronicTrading expertise to execute assigned audit testingresponsibilities.
• Lead the team to providequality audit reports and you will share audit results withbusiness leaders.
• Exercise critical thinkingand judgment to effectively influence in order to improve thecontrol environment.
• Responsible for leadingand executing multiple areas of test work during auditactivities
• Independently executes audit testwork on assigned audits and demonstrates sound project managementskills.
• Raises issues and concerns and makesrecommendations for severity ratings.
• Assessesissues for impact to business processes controls and strategiesrecommends severity ratings and escalation of broad themes ortrends.

Works with team and provides input to draft quality auditreports and supports sharing audit results with businessleaders.

Begins to establish business partnerrelationships; primary engagement is with line management.Exercises critical thinking and judgment to effectively influencemanagement to improve the control environment.

RequiredQualifications :

• Minimum 67years of Audit Risk Business Control Compliance Finance or otherrelevant experience
• Must have a goodunderstanding of Electronic Trading including Direct Market AccessAlgorithm trading & Stratergies and Sponsored Access
• Ability to plan execute and evaluate audit test planswithin a riskbased audit methodology.
• Soundorganizational analytical oral and written communication skills.
• Ability to successfully communicate toinfluence management and lead change in both strategic and tacticalinitiatives.
• Selfstarter desire to learn ableto teach others positive attitude exhibits flexibility andintellectual curiosity.
• Strong analyticalskills. Ability to analyze large amounts of data and turn it intousable information.
• Ability to work in a verydetailed manner as well as to look broadly across a population anddevelop connections and themes identifying risk andconcerns.
• Ability to juggle multiple workefforts and to quickly change direction as needed.
• Proficiency in Microsoft Office Products
• Ability to converse with management on alllevels.
• Excellent written and oralcommunication skills ability to converse with management on alllevels.
• Has knowledge of financial instrumentsand financial risk management principles including exposure toGlobal Markets products

Desired Qualifications :

Bachelors degree or relevantexperience

Skills :

• Analytical Thinking
• AuditPlanning
• Internal Audit Review
• Issue Management
• RiskManagement
• Business Acumen
• Coaching
• ProjectManagement
• Relationship Building
• Written Communications
• Attention toDetail
• Automation
• Critical Thinking

Technical Documentation