Vice President, Sr. Auditor
About The Position
In this role, you will make an impact in the following ways: Oversees risk-focused audit activities, in accordance with Internal Audit policies, methodologies, and standards to identify meaningful issues, risks and other exposures in areas being audited. Collaborating with Audit Leadership team to determine and prioritize regulatory priorities and business strategies. Working as an “in-charge” on audits and/or regulatory validations related to Swap Dealer Risk Management, market risk management, global markets trading, securities finance, liquidity and margin services. Familiar with key aspects of the Market Risk Management (MRM) framework including market risk regulatory capital calculations, related regulatory reporting (FFIEC102), VaR/SVaR back testing, market risk limits, covered position recognition, implementation of forthcoming Fundamental Review of the Trading Book (FRTB) requirements. etc. Has demonstrated ability to articulate difficult concepts to others, adapting communication methods/approaches as necessary. Providing Senior Management with recommendations and consultation to improve reimagine audit processes and practices. Identifies inconsistencies with the control environment, regulatory requirements and best practices and initiates the development of a structure or solution to address the issue(s). Strong project management skills creating long- and short-term plans, including setting targets for milestones and adhering to deadlines. Working with relevant stakeholders to deliver, monitor and communicate progress towards goals. Identifying and providing recommendations on improvements across the organization Identifies opportunities for the use of automation and makes recommendations for software support requests. No direct reports. Demonstrates leadership through work guidance and training of less experienced peers and through advice to assigned clients.
Requirements
- Bachelor's degree or equivalent combination of education and work experience required.
- 7-10 years of total work experience preferred.
- Prior experience in Internal Audit and/or Knowledge and experience in the following areas preferred: Market Risk Management; including global regulatory requirements
- Capital Markets, including: Fixed income & Equities Trading Broker Dealer compliance Foreign Exchange Trading (Spot, Forwards, Derivative. Options) Derivatives Trading (Interest Rates/Equity) Swap Dealer (CFTC Rule Compliance) Securities Finance Liquidity and Margin services
- Familiarity with new innovative AI-enabled audit testing and continuous auditing concepts is a plus.
- Understanding of the applied and interpretation of analytics results for Audit, critical thinking and problem solving.
Nice To Haves
- Familiarity with new innovative AI-enabled audit testing and continuous auditing concepts is a plus.
Responsibilities
- Oversees risk-focused audit activities, in accordance with Internal Audit policies, methodologies, and standards to identify meaningful issues, risks and other exposures in areas being audited.
- Collaborates with Audit Leadership team to determine and prioritize regulatory priorities and business strategies.
- Works as an “in-charge” on audits and/or regulatory validations related to Swap Dealer Risk Management, market risk management, global markets trading, securities finance, liquidity and margin services.
- Provides Senior Management with recommendations and consultation to improve and reimagine audit processes and practices.
- Identifies inconsistencies with the control environment, regulatory requirements and best practices and initiates the development of a structure or solution to address the issue(s).
- Creates long- and short-term plans, including setting targets for milestones and adhering to deadlines.
- Works with relevant stakeholders to deliver, monitor and communicate progress towards goals.
- Identifies and provides recommendations on improvements across the organization.
- Identifies opportunities for the use of automation and makes recommendations for software support requests.
- Demonstrates leadership through work guidance and training of less experienced peers and through advice to assigned clients.
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What This Job Offers
Career Level
Senior
