Audit Supervisor - Global Markets Trade Surveillance / Market Conduct

Veracity Software Inc; New York (NY); Hybrid; USD 115,000 - 145,000; Full time

Job summary

A leading company in IT Services is seeking an Audit Supervisor for Global Markets Trade Surveillance. The role involves executing complex audits, assessing business impacts, and fostering relationships. Candidates should have strong analytical skills and a background in financial services. This position offers a hybrid work model and opportunities for professional growth.

Qualifications

• 4-5 years in audit or compliance/business controls/risk management role.
• Specific experience with trading desk activities across asset classes.

Responsibilities

• Executes audit strategy and defines audit scope and programs.
• Assesses impacts to business processes and provides recommendations.
• Supports development of peers and fosters an inclusive work environment.

Skills

Analytical Thinking

Audit Planning

Internal Audit Review

Issue Management

Risk Management

Attention to Detail

Automation

Business Acumen

Project Management

Technical Documentation

Coaching

Critical Thinking

Relationship Building

Written Communications

Education

Bachelors degree

Tools

SQL

SAS

Excel

Access

Job description

Audit Supervisor - Global Markets Trade Surveillance / Market Conduct

Audit Supervisor - Global Markets Trade Surveillance / Market Conduct

1 month ago Be among the first 25 applicants

New York, NY

This job is responsible for independently performing test work during highly complex audit activities for Lines of Business (LOBs). Key responsibilities include independently designing and executing audit tests, assessing issues for business impact and recommending severity ratings, and establishing business partner relationships. Job expectations include evaluating the control environment, fostering an inclusive work environment, applying product, business, and technical expertise, and supporting team members with development.

Onsite | Hybrid

3 days onsite

New York, NY

This job is responsible for independently performing test work during highly complex audit activities for Lines of Business (LOBs). Key responsibilities include independently designing and executing audit tests, assessing issues for business impact and recommending severity ratings, and establishing business partner relationships. Job expectations include evaluating the control environment, fostering an inclusive work environment, applying product, business, and technical expertise, and supporting team members with development.

Responsibilities:

• Executes audit strategy for the sound application of risk-based auditing by defining audit scope and audit programs, and leverages automation and innovative methods in a timely and high quality manner
• Exercises sound knowledge of product, business, and technical expertise to effectively challenge management to improve the control environment
• Assesses impacts to business processes, controls, and strategies to provide recommendations on severity ratings
• Provides input on draft audit reports and shares audit results with business leaders
• Supports the development of peers and teams through on-the-job-training and fosters an inclusive work environment
• Establishes business partner relationships, primarily with line management, to develop business knowledge
• Uses innovative tools to complete audit activities more efficiently (e.g., testing)
  
  

Required Qualifications:

• 4-5 years' in audit or in a compliance/business controls/risk management role with specific experience/coverage of trading desk activities across either Equities or Fixed Income, Currencies and Commodities asset classes.
• Audit or risk control risk/controls background in financial services
• Intermediate Analytical / Automation Skills (SQL, SAS, Excel and Access)
• Bachelors degree
  
  

Skills:

• Analytical Thinking
• Audit Planning
• Internal Audit Review
• Issue Management
• Risk Management
• Attention to Detail
• Automation
• Business Acumen
• Project Management
• Technical Documentation
• Coaching
• Critical Thinking
• Relationship Building
• Written Communications

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Other

• Industries

  IT Services and IT Consulting

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