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.
• 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: • Prime brokerage, securities lending, and execution services • Principal investments • Trading risk management, modeling, P/L reporting, and valuation of financial products, • Trade processing, clearing and settlement. • Compliance with trading rules and regulations • Equity and debt underwriting, financing, and investment banking advisory activities. • Investment research • Create and monitor audit budget and financial direction of special projects • Support coordination of SOX testing. • Help prepare audit committee presentations
• 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