Senior Internal Auditor, Capital Markets,

Natixis•New York, NY

About The Position

The Senior Internal Auditor, Capital Markets, is a critical role within Natixis CIB Americas Internal Audit, dedicated to providing independent assurance over the adequacy and effectiveness of controls within the Capital Markets businesses. The primary responsibility is to conduct comprehensive, risk-focused audits covering the full spectrum of Capital Markets activities, from front-office trading and sales to back-office operations, risk management, compliance, and technology. This role ensures that these activities and practices are consistent with Bank Standards, Regulatory Guidelines, and industry best practices, with a specific emphasis on the unique risks inherent in Capital Markets.

Requirements

Bachelor’s degree from an accredited university/college, preferably in Finance, Economics, Accounting, or a related field.
Minimum of 7 years of relevant audit experience, with a significant portion focused on Capital Markets businesses within a financial institution or a reputable audit firm.
Demonstrated experience conducting risk-based audits of trading, sales, risk management, and operations for a range of Capital Markets products.
Strong understanding of Capital Markets products, financial instruments, trading lifecycle, and their associated risks and controls.
In-depth knowledge of regulatory requirements applicable to Capital Markets (e.g., FRB, FINRA, SEC, CFTC, Dodd-Frank, EMIR, MiFID II).
Familiarity with risk management best practices relevant to financial services and Capital Markets.
Excellent analytical and problem-solving skills; ability to synthesize complex information and draw logical conclusions.
Strong written and verbal communication skills, with the ability to articulate complex issues clearly and concisely to diverse audiences.
Effective interpersonal skills to build and maintain professional relationships with stakeholders at all levels.
Ability to work independently, manage multiple priorities, and meet deadlines in a fast-paced environment.
Curious, adaptable, and flexible with a proactive approach to learning and self-development.
Results-oriented with a strong sense of ownership and reliability.

Nice To Haves

Proficiency in data analytics tools and techniques is highly desirable, with a demonstrated interest in expanding these capabilities.
Professional certifications such as CIA, CPA, FRM, or CFA (preferred).
French speaking ability is a plus.

Responsibilities

Plan, execute, and document audit engagements for Capital Markets businesses and related functions within the CIB Americas platform. This includes leading all phases of the audit lifecycle, from pre-diagnosis and planning to fieldwork, reporting, and closure.
Evaluate the design and effectiveness of internal controls, risk management processes, and governance frameworks specifically related to Capital Markets activities. This includes assessing exposures in areas such as market risk, counterparty credit risk, liquidity risk, operational risk, model risk, and regulatory compliance.
Gain a deep understanding of Capital Markets products, trading strategies, financial instruments (e.g., derivatives, fixed income, equities, FX), transaction lifecycles, and the associated risks and controls. Analyze business processes to identify areas for optimization and control enhancement.
Ensure the Capital Markets businesses adhere to relevant regulations (e.g., FRB, FINRA, SEC, CFTC, EMIR, MiFID II) and industry standards.
Participate in continuous monitoring, risk assessments, special projects, and ad-hoc investigations as required, often with a focus on emerging risks and industry trends within Capital Markets.
Continuously monitor industry trends, regulatory changes, and emerging risks impacting Capital Markets to inform audit planning and execution.
Coordinate audit activities with other Natixis and BPCE audit teams, including global audit initiatives. Liaise effectively with business stakeholders, risk management, compliance, and technology teams.
Prepare clear, concise, and well-supported audit workpapers, findings, and reports that accurately communicate identified risks and control weaknesses to management. Present findings and recommendations to senior management and, when necessary, to regulators.
Monitor and validate the implementation and sustainability of corrective actions for outstanding audit and regulatory issues.
Contribute to the department's continuous improvement efforts and the development of innovative audit techniques and methodologies, particularly those leveraging data analytics and generative AI.