The client is a 45 year old established company seeking a Senior Auditor to predominantly focus on the execution of the audit projects, driving each audit from start to finish, including the planning phase, fieldwork and report clearance. Identifying key risks and meaningful issues about the design and effectiveness of controls and ensuring that audit staff produces high quality work.
Background in financial services, particularly in securities clearance and settlement, corporate actions, and/or securities processing.
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.
Previous internal or external audit experience is required. Previous job experience for this position can and should vary greatly to meet the department’s goal of having a team with diverse perspectives and work experiences.
Manage the audit lifecycle and communicate potential issues to the Team Leader and business.
Contribute to the development of the annual audit plan and periodic reassessment of risk coverage.
Consistently demonstrates an ability to complete high quality and risk-focused audits on time and on budget, notifying the Team Leader promptly of any possible impediments to success or when budgets might be exceeded
Review audit work performed by his or her staff to ensure audit documentation standards are adhered to
Develop and effectively communicate audit issue and reports with the Team Leader and business to facilitate timely report clearance.
Strategic Control Impact
Identify emerging and top risks, as well as controls to manage risks
Develop strong relationships with business partners.
Monitor and review staff work to ensure timely remediation of control issues
Support risk management priorities:
Take ownership for identifying risk, such as credit, market, liquidity, operational, legal, compliance, technology, and systemic, within his or her assigned area of responsibility
Adhere to departmental risk policies, procedures and best practices
Identify opportunities for improving existing processes or creating new ones that more effectively anticipate, manage and reduce risk
Maintain awareness of regulatory issues and comply with regulatory requirements
Comply with corporate initiatives, such as the New Initiatives Process (NIC), Management Self Identification of Issues, Management Control Awareness & Responsiveness (MCAR), etc.
Demonstrate the behaviors of and build competency with creating a risk management mindset
Oversee all work performed by his or her staff to verify compliance with IAD’s policies and procedures, specifically for audit documentation and issue remediation standards.
Works with Audit leadership to continuously review and improve processes
Individual & Team Development
Develops and maintains effective working relationships with IAD peers and business lines.
Identify and seize opportunities to grow skills, talents, and knowledge about audit planning, reporting, and the products and functions he or she audits
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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