INVESTMENT BANKING AUDIT OPPORTUNITIES recruitment
Assistant Vice President/Senior Auditor, Global Markets
Key Responsibilities:
• Plan and execute a risk based audit strategy and Audit plan for complex Global Markets products.
• Independently execute assigned audit activities in complex products (e.g. Derivatives)
• Responsible for Audit issue management overall SOX engagement- concurrent reviews and hands on engagement Utilise sound, seasoned analytical skills with product, business, and technical expertise to execute assigned responsibilities in an impactful manner
• Real time Audit and Business engagement with ability to influence management on Audit Issues, Audit Ratings and Sufficiency of correctives actions by exercising strong judgment, critical thinking
• Identify control trends, regulatory themes and emerging risks in assigned business areas and their impact on the business and to the Bank overall by applying business acumen and experience
The successful candidate will have:
• Strong knowledge of Global Market Sales and Trading products gained in a large and recognized comparable Global Financial Services institution.
• Specialist Commodities expertise is likely to be advantageous in the short term
• Ability to constructively and effectively engage trading, risk, compliance, finance and operations personnel (including senior management in these functions)
• Good understanding of trading risk, trade processing, settlement, valuation and accounting
• Good understanding of Rules and Regulations and experience of dealing with regulators will be advantageous
VP, Audit Manager, Global Markets
The Corporate General Auditor reports administratively to the Chief Executive Officer.
Key Responsibilities
• Proactively implements audit strategy, applying critical thinking and exercising judgment in applying audit services
• Managers, coaches trains across Audit and leads Talent Management and performance management for their team
• Plans audit activities to ensure coverage against plan
• Anticipates and exercises critical thinking and judgment to effectively influence senior business leaders
• Provides verbal and written communication of audit findings to management
• Understands the business including knowledge of major processes, customers, activities, products, strategies, and related regulatory requirements
• Ensures that key risk issues are tracked and target resolution dates are met
• Incorporates Six Sigma tools and methodologies into audit work
• Interfaces with all levels of management
• Provides holistic business assessments, promotes and influences sound risk management practices with business partners and acts as a catalyst
• Proactively manages the relationships with regulatory agencies, external consultants and other internal risk management groups
• Recruits and grows great talent through continuously coaching team and providing candid feedback
The successful candidate will have:
• Degree, with a Masters degree advantageous
• Professional Audit or Accounting Certification (e.g., ICWA, CPA, Chartered Accountant, or CIA, CBA, CFA, CISA)
• Previous audit experience related to global markets traded products, with preference for strong experience with rates and currency products
• Knowledge of a GBM traded businesses in a large financial institution (either through working at one or having audited one externally)
• Sarbanes Oxley experience
• Proficient use of computer software packages (Microsoft Excel, Word, Powerpoint, Visio)
VP, Audit Manager - Compliance and Regulatory Risk
The successful candidate will be responsible for providing risk-based Audit coverage of regulatory and compliance activities of BAC businesses in London and Europe.
Key Responsibilities
• Proactively implements audit strategy, applying critical thinking and exercising judgment in applying audit services
• Develop audit programmes covering compliance and regulatory risks
• Works actively with the General Auditor to set the annual audit plan, including defensible decisions on risk for all aspects of the compliance and regulatory risks in London and Europe
• Managers, coaches trains across Audit and leads Talent Management and performance management for their team.
• Plans and executes audit activities to ensure coverage against plan.
• Anticipates and exercises critical thinking and judgment to effectively influence senior business leaders.
• Provides verbal and written communication of audit findings to management.
• Ensures that key risk issues are tracked and target resolution dates are met
• Develops and maintains relationships with key business partners and serve as the primary point person for the Leadership Team for audit compliance and regulatory risk matters.
• Proactively manages the relationships with regulatory agencies, internal compliance function and with the US central compliance and regulatory audit team.
The successful candidate will have:
• Degree, with a Masters degree advantageous
• Professional Auditing Certification (e.g., ICWA, CPA, Chartered Accountant, or CIA, CBA, CFA, CISA)
• Professional regulatory qualifications (e.g. the Chartered Institute for Securities and Investment (CISI)
• Diploma in Investment Compliance; the Investment Management Certificate) ACAMS exam certificate
• Previous audit experience related to compliance and regulatory risks
• Previous compliance and regulatory risk experience in a large financial institution or work for the FSA Knowledge of a compliance and regulatory risks
• Knowledge of the UK and European traded businesses in a large financial institution (either through working at one or having audited one externally)
• Proficient use of computer software packages (Microsoft Excel, Word, Powerpoint, Visio). Ability to travel
AVP, Senior Auditor II , Technology
The Corporate General Auditor reports administratively to the Chief Executive Officer.
Key Responsibilities
• Broad span of audit responsibility over a large group of technology areas with a focus on high-risk complex businesses and/or multiple business groups.
• Proactively implement audit strategy by assisting in developing audit scope, audit program audit test procedures in area of responsibility.
• Manages business partner relationships for areas of responsibilities.
• Anticipates and exercises critical thinking and to effectively influence business management peers and acts as a catalyst.
• Regularly reviews industry publications to keep abreast of developments.
• Exercises and influences technology business managers and peers.
The successful candidate will have:
• Bachelors degree or equivalent
• Excellent team player
• Works well in ambiguous situations and can make clear decisions in those situations
• Working knowledge of investment banking or wealth management technologies with a reasonable knowledge of financial banking products acquired within the large global investment bank or similar organisation.
• Working knowledge of infrastructure and application technology acquired within the large global investment bank or similar organization.
• Strong business presence with good written and verbal communication skills that can be used to influence leadership across the company IT Audit experience CISA, CISSP certification ACA, ACCA or CIMA qualified an advantage (or equivalent) Experience in auditing application/infrastructure technologies