Internal Auditor - Market Risk & Capital Markets - Banking
: Job Details :

Job Category: Financial servicesSkills, Experience, Qualifications, If you have the right match for this opportunity, then make sure to apply today.Job Type: Full TimeJob Location: New York or Tampa or PhoenixJob Summary:The Senior Auditor I role within Internal Audit is responsible for leading independent, objective assurance and consultingactivities designed to evaluate and assess the effectiveness of the Bank's governance, risk management and controlprocesses. This role includes, but is not limited to, independently owning the successful execution of the end-to-end auditprocess (e.g. planning, fieldwork testing, reporting, issues validation, etc.). The Senior Auditor I also establish direction forstaff on more complex audit activities and project deliverables across the organization.Management or Supervision:May supervise staff during an audit engagement at the VP Level and below.Major Responsibilities:Act as a leader, developing and promoting a workplace culture that values diversity of thought, promotes integrity andcreates an atmosphere that supports coaching and fosters accountabilityEngage as a team player across peer group while also operating within industry best practices, applicable regulations,and internal and external professional practice expectations.Effectively manage executive relationships (internally and externally), clients and peers to mutually accountable,productive, respectful, and trusted level and exhibit a high standard of performance and professional conduct that willcreate a culture of integrity and inclusion; where all individual and departmental choices are rooted in good judgment andsupport the company's Principal of Ethics and Conduct.Job Description:Identify and understand risks and controls in changing environments with the ability to execute the full life cycle of anaudit, from planning to audit close.Perform risk assessments and analyze risk trends at a macro level, identifying signs of changing risk levels and/orsymptoms of process control breakdowns.Assess the business' governance, risk management and control environment and generate insightful, meaningfulobservations that effectively convey significance and impact on risk and/or risk management practices.Maintain compliance with audit methodology, while also operating within industry best practices, applicable standards andregulations, and internal and external professional practice expectations.Establish audit scope inclusive of key risks relevant to the areas under review, with test objectives and test programsdesigned to opine on the design and operating effectiveness of controls and ensure appropriate depth of testing.Assign and review the staff selected for audit engagements to ensure appropriate skillsets for execution.Review and challenge audit staff and audit judgment in scoping, risk and control identification, findings and observations,and documentation to ensure accuracy.Provide constructive input to Audit & Finance Committee and Management reporting.Education and Licensure:A Bachelor's degree, preferably in Accounting, Finance, Business Administration or related business discipline at anaccredited college or university.Professional auditing certifications, such as the CIA, CPA, or CFSA, are highly desirable.Advanced degree preferred.Skills and Experience:7+ years and/or equivalent of experience in internal audit and/or equivalent of experience with the financial servicesindustry, related markets and regulated industries, specifically in the areas of Market Risk Management withdemonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, suchas DFA Swap Dealer, Volcker and FINRA, SEC and NASD rules.Experience working with financial industry regulators, including OCC, FRB, and FINRADeep knowledge of risk assessment, audit methodology, and audit executionDemonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.)Strong project management skills; preferably within internal audit functionsEmploys strong critical thinking skills to identify pragmatic recommendations within an evolving and increasingly complexregulatory and risk management environmentStrong verbal and written communication skills