Controlling timely and accurate completion of work including execution of audit work and coaching of more junior staff
- Drives execution of audits escalating issues/problems as necessary
- Facilitates audit tracking and assists in the validation of proper closure of issues (GATS)
- Prepares draft reports including issues, recommendations and obtains management responses
- Attends closing meetings with Senior Audit Manager
- Develops and maintains broad financial services experience and Bank knowledge. Keeps abreast of business/industry changes and their affect on plan/approach and Core Risk Matrices (CRMs)
- Plans audit engagements based upon risk-based approach using APM/MRA/DBA
- Works with Senior Audit Manager to manage audit budgets and assists in the evaluation of risks to develop specific engagement plans
- Participates in departmental initiatives (e.g. special projects, investigations) as required
- Co-ordinates with other groups during audit engagement to ensure integrated approach (e.g. technology teams)
- Assists in the supervision, development and coaching of staff
Experience Background:
- 4-8 years of experience with a combination of investment banking and big 4 accounting firm exposure.
- Sound understanding of front to back end processes within the Sales and Trading environment (i.e. Front Office, Back Office, BAC, etc).
- Solid product knowledge and the ability to understand the risks associated with these products.
- Ability to identify and evaluate risks within the control environment.
2. Education:
- Bachelors degree required, preferred in Accounting and Finance.
- CPA license preferred
3. Personal Characteristics:
- Good communications skills both verbal and written.
- Confidence to speak with management about issues, controls failures, etc.
- Team player and be able to work well with the Audit team.
- Ability to work well under minimal supervision.
- Be able to train and develop junior staff.
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