#JR-24037034
organization.
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Job Description:
This role will use expertise gained auditing Global Markets or closely related areas (i.e.: market risk management, product control or GM specific compliance) to execute audit work with a focus on supervision and trade surveillance. This experience may not come from a classic Audit background, but rather from transferrable skills from a first or second line function associated with Sales and Trading. This role will build on a good working knowledge of market conduct risk and market abuse scenarios gained, for example, while working on FX consent order remediation or validation
Responsibilities:
• Responsible for executing multiple areas of test work during audit activities.
• Use analytical skills and/or technical expertise to execute assigned audit testing responsibilities and identify opportunities to automate testing or create continuous monitoring.
• Independently execute audit test work on assigned audits in a timely manner and with high quality.
• Identify control deficiencies, discusses with line management and initiates control matter recommendations in assigned test areas.
• Demonstrate project management skills.
• Raise issues and concerns and make recommendations for severity ratings.
• Assess issues for impact to business processes, controls and strategies; recommends severity ratings and escalation of broad themes or trends, engages in discussions about risk and demonstrates business knowledge.
• Establish business partner relationships; primary engagement is with line management.
• Exercise critical thinking and judgment to effectively influence management to improve the control environment.
• Strive to improve processes and challenge the status quo to improve existing operating environment.
Required Qualifications:
4 years' 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.
Working knowledge of Global Markets with a focus on market conduct risk related supervision and trade surveillance
Skills:
• Internal Audit Review
• Issue Management
• Risk Management
• Audit Planning
• Analytical Thinking
• Project Management
• Automation
• Technical Documentation
• Attention to Detail
• Business Acumen
• Relationship Building
• Coaching
• Critical Thinking
• Written Communications
Shift:
1st shift (United States of America)
Hours Per Week:
40
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