The Horizon Group
August 11, 2014
Job Type


Job Title:          Senior Auditor            




  • Plan and execute audit assignments in accordance with audit methodology and audit tools. The Auditor is to have a strong understanding of relevant risks and control processes in a bank or broker/dealer institution.
  • Audit results are expected to be based on a combination of qualitative and substantive (testing) fieldwork. Through the course of fieldwork, the Auditor is to identify control deficiencies and practical solutions as part of delivering a high quality work product.
  • Proficiently use the department’s audit tools in planning and executing audit assignments.
  • Periodically meet with management to monitor the initiatives, developments or challenges within the firm (i.e., continuous business monitoring).
  • Prepare written audit results developed from audit assignments or continuous business monitoring work.
  • Monitor the progress and provide management with guidance toward the sustainable closure of audit findings.
  • Maintain professional and constructive relationships with management


Audit provides assurance regarding the achievement of:


  • Effective, efficient and secure business operations;
  • Safeguarding of entrusted and owned assets;
  • Reliability of operational and financial data and reporting; and
  • Compliance with applicable laws and regulations; including internal policies and procedures.


Audit’s assessments include the proper design, existence and operational effectiveness of:


  • Governance processes and principles such as strategy objective setting, and accountability;
  • Integrity (ethics and values), transparency and adequate competencies;
  • Risk appetite setting and monitoring, risk identification and risk assessment, and proper responses to potential impairments; and
  • Control processes as part of risk mitigation.




  • Primary coverage is New York based businesses and support functions which include Corporate Banking (e.g., Energy, Commodities, and Transportation); Global Markets (e.g., Securities Finance, Foreign Exchange, Rates, etc.); and AML/Treasury.
  • Incumbent is not responsible for supervising other staff.



Education and Experience


  • Relevant audit experience (5+ years) in Corporate Banking and Global Markets.
  • Excellent writing, verbal and interpersonal skills to clearly articulate issues to a wide audience.
  • Knowledge of Computer-Assisted Audit Tools/Techniques (CAATTs).
  • Team player with demonstrated track record in self-initiative and time management.
  • Undergraduate degree in Business (preferably Finance).


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