Senior Auditor – Capital Markets

Overview

JOB DESCRIPTION

We are the New York office of a global financial institution.   We seek an experienced Auditor who will work within a small Audit team environment, reporting directly to the Head of Group Audit, US.    Primary coverage will be New York based businesses which include Corporate Banking (e.g., Energy, Commodities, and Transportation); Capital Markets (e.g., Securities Finance, Foreign Exchange, Rates, etc.); and ALM/Treasury.

We seek candidates with the following skills and experience:

• Relevant audit experience (5+ years) in Corporate Banking and Capital Markets, including coverage of risk management, compliance, operations, and finance/accounting.
• Team player with demonstrated track record in self-initiative and time management.
• Knowledge of Computer-Assisted Audit Tools/Techniques (CAATTs).
• Undergraduate degree in Business (preferably Finance).
• CIA or CFSA credentials are a plus.
• Excellent writing, verbal and interpersonal skills to clearly articulate issues to a wide audience.

In this role, the auditor will:

• Plan and execute audit assignments in accordance with Group Audit methodology and audit tools. The Auditor is to have a strong understanding of relevant risks and control processes in an FRB regulated bank, foreign banking organization preferred.
• 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.
• Maintain relationships 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. Professional writing is to consist of first-rate grammar with sufficient clarity for the executive reader.
• Monitor management’s progress with corrective actions, and provide guidance toward the sustainable closure of audit findings.
• Maintain professional and constructive relationships with management (i.e., first and second lines of defense) to motivate continuous improvement, challenge processes to elevate the norm, and add value.