A global banking client is looking for Senior Internal Auditors to join the Global Markets team. This team is responsible for maintaining effective controls by assessing the firms control environment within the Global Markets division, evaluating the effectiveness of risk management practices, identifying potential control weaknesses, and communicating findings to senior management, all while ensuring compliance with relevant regulations and internal policies. This team has unique insights on the financial industry and its products and operations and it typically involves deep dives into trading activities, product structuring, and related technology systems to monitor for risks and recommend improvements. The ideal candidate is someone that has between 7-10 years of audit experience, a strong risk/controls mindset, and an understanding of the regulatory landscape (trading, Swap/Dealer market, FX consent, etc.) They are looking for analytical self-starters that can immediately come in and help execute on the audit projects right away, research / read up on previous work papers both online and internally on a range of topics, participate in stakeholder meetings, and develop audit conclusions. Some main responsibilities include:
- Develop and maintain an in-depth understanding of the firms Swap Dealer compliance program
- Manage and execute audits focused on the firms compliance with the Swap Dealer requirements including planning and scoping, fieldwork and audit test plans, and reporting
- Drive walkthroughs with stakeholders to perform control design assessments
- Lead audit testing to ensure audit fieldwork is focused on the right areas and documentation meets high quality standards
- Coordinate with business and engineering audit teams to identify risks, assess mitigating controls, and make recommendations on improving the control environment
- Communicates and reports on the audit conclusions and findings, and present to Internal Audit senior management and business stakeholders
- Follow-up on open audit issues and validate their resolution
- Participate in department-wide initiatives aimed at continually improving Internal Audit's processes and supporting infrastructure
- Develop and maintain key stakeholder relationships and regularly engage with the business during the year to assess changes in the risk and control environment

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