Audit Manager - Global Markets FICC

$115,650 - $131,000 yearly
  • The Resume Review - Recruiting Department
  • Charlotte, NC, USA
  • Jun 01, 2022
Full time Finance Legal

Job Description

Job description
Audit Manager oversees and executes assigned areas of audit work, providing day to day coaching and guidance to teammates. Executes audit strategy for the sound application of risk based auditing by defining audit scope, audit program, and test procedures. Typically acts as Auditor-in-Charge (AIC). Demonstrates strategic thinking and supports change. Oversees audit testing to ensure timely execution within quality standards and conformance to audit policies and procedures.
 
Assesses issues for impact to business processes, controls and strategies, recommends severity ratings and escalation of broad themes or trends. Drafts quality and timely audit reports and shares results with business leaders. Manages business partner relationships when conducting specific audits; primary engagement is with line management. Exercises critical thinking and judgment to effectively influence management to improve the control environment. When leading an audit engagement, is responsible for day to day coaching, mentoring, and performance feedback. Fosters an inclusive work environment.
 
Required Skills:
  • 5-7+ years of experience related to Global Markets within an Audit, Product Control, Middle Office, Operations/Business, Risk Management, Trading and/or Compliance function.
  • Strong knowledge of Global Markets lines of business
  • In depth understanding of financial instruments; with a focus on fixed income, currencies, and commodities.
  • Strong understanding of sales and trading functions; risk management metrics; valuation concepts; and market regulations and practices.
  • Solid understanding of support functions, including middle office, operations, and finance.
  • Familiarity with key US laws and regulations pertaining to banking and broker/dealer securities trading & sales activities.
  • Proficient in audit methodology, including a strong understanding of risk assessment and control processes.
  • Excellent verbal and written communication skills.
  • Candidate will be required to interact with staff and managers across audit teams as well as key stakeholders in business areas including Sales, Trading, and Risk Management, Finance, Operations and Middle Office functions.
  • Ability to work in a team environment, focus on high quality execution and lead audit assignments, and lead small teams.
  • Critical thinker, high energy, and intellectually curious.
  • Bachelors or Masters degree
 
Desired Skills:
  • CPA/CFA/FRM preferred.