Global Bank Holding Company seeks an AVP, Internal Audit to join their Capital Markets team. Visible role with opportunity to support the continued success of the Internal Audit function for a growing financial services company expanding under established industry leadership.
Responsibilities: Evaluate internal control environments and communicate identified risk/control matters to management. Support the development of the audit team: assist current and new staff, help guide the successful completion of planned audits and special projects related to internal controls. Support audits of Sales and trading of cash, derivative and structured products across Interest rate products, credit products, Mortgages, Currencies and Commodities and Equities (listed and OTC trading - shares, options, and futures), Additional areas of coverage may include: o Prime brokerage, securities lending, and execution services o Principal investments o Trading risk management, modeling, P/L reporting, and valuation of financial products, o Trade processing, clearing and settlement. o Compliance with trading rules and regulations o Equity and debt underwriting, financing, and investment banking advisory activities. o Investment research Create and monitor audit budget and financial direction of special projects Support coordination of SOX testing. Help prepare audit committee presentations
Qualifications: Bachelor’s degree with 3-6 years of related work experience in an internal audit function at a large global banking organization. CPA Required. Big 4 experience highly preferred. Ideal candidate must have a working knowledge and technical expertise in SEC reporting Sarbanes-Oxley Internal reporting Corporate tax Previous experience managing teams Previous experience with regulatory authorities is plus