Senior Lead Auditor - Capital Markets

KeyBank • East Honolulu, HI

2d • $71,000 - $122,000 • Remote

About The Position

The Capital Markets Senior Lead Auditor will be responsible for assisting with the coordination and completion of the three phases of an audit: Planning, Fieldwork and Reporting. This will include completion of walkthroughs, interacting with line of business personnel, performing and documenting testing of internal controls, ensuring adherence to required laws and regulations, drafting of findings, reporting deliverables, as well as identifying risks and controls associated with the various business functions. This individual will be responsible for leading and staffing audits across a broad range of capital markets activities including, but not limited to, investment banking, equities, fixed income, derivatives, foreign exchange, equity research, market risk and counterparty credit as well as applicable regulatory requirements. The Senior Lead Auditor will also be responsible for managing assigned staff and providing feedback where applicable. The Senior Lead Auditor may also participate on ad-hoc projects, ongoing risk intelligence activities and internal audit related trainings.

Requirements

• 3+ years of relevant audit experience (preferred)
• Strong product skills and understanding of business, industry, and regulatory concepts.
• Strong knowledge across business and functions.
• Ability to leverage business acumen to advise and consult with leaders within area of expertise.
• Developing ability to draw insight from risk intelligence and make valuable recommendations.
• Adaptability: Demonstrates a willingness to listen to other opinions and adjusts to new or changing assignments, processes, and people while avoiding snap reactions
• Collaboration: Demonstrates experience in participating in productive collaborative processes that help solve business problems and meet business goals
• Critical Thinking: The ability to identify, obtain, and organize relevant data and ideas and prioritize concerns in the decision-making process
• Decision Making: The ability to select the right activities to work on from a range of competing priorities and stands by decisions in the face of conflict or unexpected outcomes
• Problem Solving: Demonstrates the ability to examine a specific problem and understand the perspective of stakeholders; uses fact-finding techniques to identify and document specific problems
• Analytical Thinking: Gives examples of how analytical thinking has been or can be used to resolve problems and names specific tools or techniques to support the process
• Business Acumen: Participates in business tasks to get things done in own business unit and communicates key considerations for business decision-making processes
• Change Navigation: Articulates the rationale for, and positive and negative consequences of change so as to help others adapt; encourages exploration of non-traditional ideas by team members leveraging the concept of continuous improvement
• Data Analysis: Demonstrates a basic understanding of the concepts underlying data analytics and lists the major sources for collecting data and conducting data analysis
• Oral & Written Communication: Possesses the ability to adapt listening and facilitation style to others’ communication styles and uses various approaches appropriately and effectively

Nice To Haves

• Bachelor's Degree (preferred)
• Certified Internal Auditor (CIA)
• Certified Fraud Examiner (CFE)
• Certified Public Accountant (CPA)
• Series 7

Responsibilities

• Demonstrate intermediate knowledge of audit concepts with a solid understanding of audit concepts within internal audit including documentation of planning deliverables, testing, audit findings and audit reports.
• Consistently demonstrate intermediate business writing skills and cohesively present information effectively to others
• Prioritize and execute multiple assignments; identifies obstacles within the scope of assignments; proactively communicate delays in assigned deliverables or additional capacity availability; effectively delegate work when necessary.
• Exhibit intermediate leadership skills by leading or providing oversight on stand-alone and integrated reviews or ad-hoc projects while managing staff and delivering feedback on performance.
• Exhibit an intermediate understanding of product skills and business, industry and regulatory concepts.
• Develop relationships with clients; thoughtfully engage in networking with members of your team, within Internal Audit and across Key, to build lasting relationships.
• Performs other duties as assigned; duties, responsibilities and/or activities may change or new ones may be assigned at any time with or without notice
• Complies with all KeyBank policies and procedures, including without limitation, acting professionally at all times, conducting business ethically, avoiding conflicts of interest, and acting in the best interests of Key’s clients and Key.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees