Audit Supervisor

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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, discuss 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 on business processes, controls, and strategies; recommend severity ratings and escalation of broad themes or trends, engage 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 the 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

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