Senior Auditor, CIB Conduct & Supervision
|Job Title:||Senior Auditor, CIB Conduct & Supervision|
|Contact Name:||Emir Allen|
|Job Published:||September 04, 2017 09:06|
You will be joining the Corporate & Investment Bank (CIB) audit team as part the expansion of the team established therein to drive enhanced coverage of conduct risk and supervision processes globally. You will report directly to a Principal Audit Manager (PAM) – CIB Conduct & Supervision.
- Support the PAM - CIB Conduct & Supervision in the expansion of the team.
- Undertakes audit assignments, drafts audit issues / reports for review by audit management, facilitates issue tracking and validates closure of issue
- Executes day-to-day operational audit work and contributes to the delivery of audits (including the updating of Risk Assessment Profiles and the CAA process)
- Executes audit fieldwork in line with the agreed audit approach e.g. documenting Activity Flows, identification of key risks and testing of key controls to determine whether they are properly designed and are operating effectively and documenting work in accordance with Group Audit (GA) standards
- Completes all assigned work in line with agreed budgets, including ad hoc projects and special investigations
- Provide input to the risk assessments and approaches across CIB in relation to conduct topics
- Partner across CIB and other audit teams globally (in particular Compliance) to ensure comprehensive audit coverage and integrated approach to key risk topics
- Proactively develops and maintains professional working relationships with colleagues, the business and respective support areas
- Communicates openly with GA management and the internal stakeholders; keeps them informed of potential issues and escalate problems/delays accordingly.
- Keeps abreast of pertinent industry, regulatory and business practices
- Deliver and sustain own performance against key objectives in the context of functional strategies
- Support the development of an environment where people management and development is a priority
- Take ownership for own career management, seeking opportunities for continuous development of personal capability and improved performance contribution
Skills & Qualifications:
- Knowledge and experience of financial services particularly Investment Banking products, coupled with familiarisation of working within the operational requirements and regulatory environment of a global Bank
- Proven experience in an audit function within a global Investment Bank
- Trading or 1st line controls / compliance experience would be an advantage
- Educated to Bachelor’s degree level or equivalent qualification / work experience
- A proven track record of meeting client needs in a financial services environment