Asset Wealth Management

4 weeks ago

Hyderabad, Telangana, India Cantor Fitzgerald Full time

Position Summary

This role will be responsible for conducting internal audit activities that assess risks and controls in Ireland's wealth management business and potentially in the wider Asset Management business of Cantor Fitzgerald group. The ideal candidate will have a proven record of audit execution in accordance with IIA standards and a good familiarity and hands on experience with key regulations in Ireland.

Major Responsibilities:

  • Perform audit work assigned according to the standards of Internal Audit's (IA) risk-based methodology.
  • Design effective and efficient tests of key controls or processes to assess risks, validate the adequacy of design and operating effectiveness of key controls.
  • Design and execute substantive testing, including data analysis.
  • Perform and document audit work and conclude on the audit tests results.
  • Identify, assess and report on all key risks and compliance issues/ breaches in the area audited.
  • Review and tests management actions taken by Business to remediate issues and deficiencies.
  • Draft clear, concise, and well-supported audit findings in the working paper and audit tool.
  • Work with the audit team and internal management to communicate issues or delays that may arise throughout the audit.
  • Perform validation of management actions and documentation of action closure, including follow up with action owners when needed.
  • Develop a thorough understanding of audits and assigned functions, including technology, products, organizational activities and systems.
  • Execute special or ad-hoc projects as requested.

Key Contacts and Working Relationships:

  • Establish and maintain relationships with key stakeholders within the Firm.
  • Liaise with Front Office, Middle Office, Compliance, Risk and Support Functions to ensure clear understanding of the audit scope, issues raised, and action point required to address the findings.
  • IA Audit Lead, IA Director, Head of Internal Audit for EMEA/ APAC, Global Head of Internal Audit (as needed).

Skills:

  • 5 + years of experience in asset management/ financial services (wealth management preferred) including experience in performing operational, regulatory, compliance, financial audits.
  • Familiarity of relevant regulatory framework and requirements in Ireland (MiFID II/ MiFIR, Investment Firms Regulation, Consumer Protection Code, Client Asset Requirement etc.).
  • Strong analytical and project management skills, ability to prioritise and multi-tasked when needed.
  • Effective communication skills (verbal and written) and interpersonal skills as well as interest in developing to succeeding roles in IA.
  • Motivated with proven ability to research, interpret and apply regulatory requirements.
  • Ability to build strong working relationships with peers, staff and relevant stakeholders.
  • Self-motivated and able to work independently and as part of a team.
  • Strong familiarity with MS Office including Word, Excel, PowerPoint, Outlook.

Education/ Experience Requirements:

  • Bachelor's degree in accounting, finance or any business-related area preferred.
  • CIA, CPA, ACA, CA, ACCA, CFA or other similar certification preferred.

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