Audit Supervisor - Global Markets Trade Surveillance/Market Conduct

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Job description

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+ year in auditing and same in trading with 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).

Bachelor degree.

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