Audit Manager - Global Markets Equities

Fox Point Recruitment LLC; New York (NY); Hybrid; USD 130,000 - 180,000; Full time

Job summary

A leading company seeks an experienced Audit Manager for their Global Markets Equities division. This pivotal role involves executing audit strategies, overseeing teams, and engaging with management to enhance control environments. The ideal candidate will possess extensive experience in capital markets and relevant qualifications such as a CFA or FRM, with strong analytical skills and the ability to communicate effectively.

Qualifications

• Minimum 6 years of audit experience related to capital markets and equity.
• Experience leading audits as auditor-in-charge for 2+ years.

Responsibilities

• Executes audit strategy and oversees audit testing with quality standards.
• Mentors a team of associates while maintaining business partner relationships.
• Communicates audit findings effectively to management.

Skills

Leadership

Analytical Skills

Communication

Education

Bachelor's or Master's Degree in Business, Economics, Finance, or other quantitative field

Master of Business Administration

Tools

SQL

Alteryx

Advanced Excel and Access

Job description

About the job Audit Manager - Global Markets Equities

Location: Hybrid, NY, New York

Responsibilities:

• Executes audit strategy for the sound application of risk-based auditing by defining audit scope and audit programs, and drafting audit reports leveraging automation and innovative methods in a timely and high quality manner
• Acts as Auditor-in-Charge (AIC) by overseeing audit testing and ensuring it is executed in a timely manner and conforms with quality standards, audit policies, and procedures
• Assesses impacts to business processes, controls, and strategies to provide recommendations on severity ratings and escalate broad themes or trends accordingly based on existing business knowledge
• Exercises intellectual curiosity and judgment to effectively influence and challenge management to improve the control environment and drive continuous improvements on audit
• Oversees a team of associates and provides day-to-day mentoring and guidance and fosters an inclusive work environment
• Maintains business partner relationships, primarily with line management, to develop business knowledge
• Exercises sound knowledge of product, business, and technical expertise to effectively challenge management to improve the control environment
• Specifically, knowledge of trading and hedging strategies, supervisory procedures, P&L attribution, risk management, operational processes and regulatory landscape strongly preferred.
• Experience in validation of audit and regulatory issues. Support in preparation of regulatory exams by creating presentation materials and providing timely responses to inquiries.
• Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery.
• Effective influence skills in communicating findings. This individual must be an articulate and effective communicator, both verbally and in writing.
  

Required Qualifications:

• Minimum 6 years of audit experience in areas related to capital markets, equity and equity linked products, derivatives, front office risk management, laws and regulations, banking regulations, local standards, and internal policies.
• Minimum 2 years of experience leading audits and performing in the role of auditor-in-charge.

Desired Qualifications:

• Bachelors or Master's Degree in Business, Economics, Finance, or other quantitative field or Master of Business Administration.
• Chartered Financial Analyst (CFA), Financial Risk Manager (FRM), Certified Internal Auditor (CIA) or relevant securities licenses preferred.
• Intermediate Analytical / Automation Skills (SQL, Alteryx, Advanced Excel and Access)
• Experience of working in large, global financial institution, preferably a bank or large brokerage house.