Senior Auditor

Job Title:          Senior Auditor            

JOB DUTIES / RESPONSIBILITIES:

• 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.

JOB SCOPE:

• 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.

JOB SPECIFICATIONS:

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).