Auditing Expert

Enhance Your Audit Expertise

In our dynamic audit environment, you will be involved in comprehensive audit engagements, performing and documenting intricate testing procedures, and partnering closely with global colleagues and business stakeholders. The role will require you to leverage your judgment to refine internal controls, and offer you the chance to gain a thorough understanding of key central functions and regulatory landscapes.

The Commercial Investment Banking Compliance Audit team manages a program of audit coverage over the commercial investment banking's regulatory compliance-related controls, including those over swaps and security-based swaps, Volcker and related areas in global, product-aligned and/or legal entity-aligned audits. Coverage of certain processes and controls requires engagement across other lines of business and corporate functions.

Audit Responsibilities:

• Participate in all aspects of audit activities including risk assessments, audit planning, testing, control evaluation, issue drafting, and follow up and verification of issue closure, in close partnership with senior auditors and/or audit managers, ensuring timely completion and adherence to allocated budgets.
• Work closely with Commercial Investment Banking Compliance Audit colleagues in early identification of emerging control issues and reporting them timely to Audit management and business stakeholders while adhering to audit standards.
• Develop recommendations to strengthen internal controls and improve operational efficiency.
• Take ownership of self-development, including stretch assignments, to prepare for greater responsibilities and career growth, taking initiative to seek out opportunities for continued learning.
• Build and maintain strong working relationships with stakeholders, business management, other control groups while maintaining independence.
• Demonstrate and maintain technical competency, staying up to date with evolving regulatory and industry developments impacting commercial investment banking Dodd-Frank-Volcker compliance area.

Required Skills and Qualifications:

• Minimum 5 years of internal or external auditing experience, or relevant business experience.
• Minimum Bachelor's degree (or relevant financial services experience).
• Ability to operate as an effective auditor, with a solid understanding of internal controls and the ability to evaluate and determine the adequacy of controls for a given set of risks.
• Experience with internal audit methodology and applying concepts in audit delivery and execution.
• Excellent written, verbal, and presentation skills; adept at presenting complex and sensitive issues to senior management.
• Strong interpersonal and influencing skills, with the ability to establish credibility and build partnerships with senior business and control partners, while also influencing the actions of the business to improve its control environment.
• Strong analytical skills, particularly in regard to assessing the probability and impact of an internal control weakness.
• Proven ability to multi-task and prioritize effectively, driving efficiency with existing technical infrastructure through automation, while embracing innovative opportunities offered by new technologies.
• Enthusiastic, self-motivated, effective under pressure and willing to take personal risk and accountability.
• Ability to work well individually, and in teams, share information, support colleagues and encourage participation.

Preferred Skills and Qualifications:

• Chartered Accountant or equivalent, Certified Internal Auditor, and/or Advanced Degree in Finance or Accounting.
• Exposure to Dodd-Frank/Volcker regulatory compliance and related processes.