Global bank seeks Senior Audit Professional with experience overseeing audits of operations and markets processes. The SVP will hold a key role in managing and executing internal audits, maintaining stakeholder relationships, and producing risk assessments for audit entities.
• Reporting to the Director of Operations, develop and execute the annual, risk-based, audit plan based on the combined evaluation of factors including risk assessment scoring/analysis and other relevant considerations. • Lead and manage the Audit Team in the execution of complex risk based audits, meeting committed delivery dates as set out in the annual plan. • Maintain an audit universe of comprehensive audit entities properly ensuring “end to end” Markets coverage supported by risk assessments updated on a quarterly basis. • Accountable for the execution and reporting of audits performed by the team through pro-active engagement with stakeholders in accordance with Internal Audit methodology. • Ensure that potential issues are raised promptly and collaboratively to IA and business management with a view to identifying the most viable, pragmatic and sustainable conclusion to mitigate the risk. • Oversee the production of well-written reports, in accordance with methodology, requiring minimal editing. • Develop and manage effective senior operations management relationships providing all stakeholders with insight, opinions and practical solutions to improve the control culture together with soliciting input for quarterly risk assessment refreshes and other relevant IA considerations. • Ensure attendance at all appropriate client and governance meetings to provide Internal Audit perspective and ensure appropriate understanding of emerging business and regulatory issues. • Gain knowledge and keep abreast of industry developments, new laws, rules, products, technologies and applications and considers implications for the business and audit universe and plan. • Work collaboratively with Internal Audit teams in the matrix for all assigned responsibilities.
• Bachelor’s Degree level education (or equivalent) with 8-15+ years experience auditing in a financial services environment with specific focus on cash securities, asset servicing/income processing, loans, ETD/OTC derivatives and FX. • Excellent knowledge of SEC/OCC and other regulatory reporting requirements impacting Operations. • Extensive experience across relevant NAM and other jurisdictions • Possess data analysis and/or technical skills to analyze data utilizing automated tools and identify problems and emerging themes/issues. • Knowledge of advanced Excel & Access functions to perform data analysis/test automated controls. Knowledge of audit software (IDEA, ACL, SQL).