Auditor

Auditor

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  The Auditor position is predominantly focused on leading audit projects covering Equity and Fixed Income Clearing, Settlement, Wealth Management, Client Services and Asset Services products by supporting all phases of the audit lifecycle under the guidance of a Team Leader and by managing and directing the daily activities of individuals assigned to work on those audit projects.

  
  Responsibilities

  • Strategic Control Impact • Assesses the risk and control environment for processes within coverage areas • Identifies meaningful issues, and increases the velocity and sustainability of the mitigation plans and processes • Differentiates and articulates issues based on severity • Establishes ongoing relationships with managers in the businesses or functions covered • Works with business stakeholders to develop specific, measurable, achievable, realistic and timely (SMART) action plans to remediate control issues • Works closely with auditees to verify timely progress and completion of agreed action plans and to the completion of those action plans • Contributes to the development and execution of a continuous monitoring program for the businesses or functions covered • Understands the financial services industry and has knowledge of regulatory requirements such as Covered Clearing Agency Standards
  • Audit Execution • Leads all phases of an audit and provides guidance to junior staff to ensure that audit projects are completed effectively, on time, and within the allocated budget. • Possesses and demonstrates a strong understanding of audit techniques • Creates an effective risk-based audit program • Independently oversees and contributes to the completion of risk-focused audit fieldwork, notifying the Team Leader promptly of issues that arise or when budgets or timelines are at risk • Effectively communicates throughout the audit lifecycle while translating complex concepts and potential issues clearly with root cause analysis • Assists the Team Leader with annual risk assessment and audit planning
  • Quality Process • Demonstrates a strong knowledge of My clients IAD policies and procedures, particularly work paper documentation standards • Independently prepares and reviews work papers, ensuring they fully comply with IAD policies and procedures • Participates in IAD continuous improvement initiatives
  • Individual and Team Development • Proactively seeks opportunities to develop and broaden his or her professional skills and knowledge of audit techniques and methodologies, and of the products and functions within coverage areas • Demonstrates a strong commitment to teamwork by demonstrating a willingness to assist peers and supervisors • Seeks feedback for improvement and effectively applies that feedback to continuously improve • Coaches and mentors more junior team members
  • Mitigates risk by following established procedures and monitoring controls, spotting key errors and demonstrating strong ethical behavior.

  
  Qualifications

  • Minimum of 6 years of Audit experience
  • Bachelor's degree required. Masters experience is preferred.
  • Certifications, such as Certified Public Accountant, Certified Fraud Examiner, Certified Internal Auditor, Certified Information Systems Auditor, Certified Financial Analyst, or Certified Anti-Money Laundering Specialist preferred.
  • Previous internal or external audit experience is required.
  • Background in financial services, particularly in securities clearance and settlement, corporate actions, and/or securities processing is preferred.

  Business Unit: Internal Audit

  The Internal Audit Department's (IAD) mission is to deliver independent assessments of the organization’s overall control environment and to promote proactive risk identification and mitigation.

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