Audit Senior Mgr / Manager Capital Mkts

Audit Senior Mgr / Manager Capital Mkts

----is seeking an experienced auditor for its ISG team covering the Capital Markets businesses. The person in the role will assist the Internal Audit department’s Institutional Securities audit team in completing its annual audit plan, communicating to senior management and the Board Audit Committee those areas requiring control enhancements and providing recommendations for improvements. Audited functions include: sales and trading activities and procedures; all traded products (equities, fixed income, commodities); operations, financial accounting, compliance and legal protocol; as well as other aspects of the Sales & Trading business.   
Skills Required   Reporting to a Portfolio Manager, the senior manager will be able to perform risk assessments and plan, execute and lead integrated financial and technology audits.

This includes:
• Having a good understanding of risk categories and performing risk assessments at an entity and at a process level.
• Preparing audit planning memorandum including identifying and evaluating key risks, setting audit scope, determining budgets and staff assignments.
• Possessing considerable experience performing walkthroughs, assessing the internal control environment and performing controls and substantive testing
• Being able to supervise and mentor junior staff, and review work papers to ensure they meet internal standards.
• Being able to manage audits to meet budgets and the time frame for completing audits.
• Being able to properly assess potential findings for significance.
• Drafting audit reports including writing clear and concise findings and recommendations.
• Following up actions quarterly with clients through to completion
• Being able to articulate clearly to, and develop relationships with, audit clients. 

  Audit in cap markets or public internal audit with financial products. Commodities+ Basel 2++ Products a MUST