Internal Audit – Senior Audit Manager

Full Time

Investment Banking Client

Office Status: Hybrid

Responsibilities:

  • Planning, Execution and Reporting of the CAG Audit Plan
  • Executes the Audit Plan and updates the Risk Assessment Database as required
  • Participates in the audit coverage of LRRs and to develop standard audit programs for adequate and consistent approach to cover regulatory compliance risk
  • Participates and assists with the coverage, execution, assessment of regulatory compliance audits related to Market Abuse Rules, OTC Derivative Regulations, Volcker, IIROC etc.
  • Maintains a thorough understanding of compliance risks and processes. This includes keeping abreast of key industry developments, regulatory changes, and identifies key systemic issues (arising from audits globally) and internal changes that will impact the annual audit plan and/or quarterly Audit Committee reporting
  • Executes the quarterly continuous monitoring program
  • Maintains relationships with Global Compliance and audit teams
  • Assist to develop tactical strategies for increasing the use of data analytics to drive effective annual planning / risk assessment, and engagement / project execution
  • Contributing member of the Centre of Excellence (CoE)
  • Coverage Capabilities: Provide guidance to prioritize, risk assess and map key LRRs into the audit universe. Effectively challenge risk assessment & Annual Plan to ensure risk-based coverage of LRRs
  • Global Thematic / Extra Territorial Rule: Oversee the Global Coverage approach and support in execution of audits. Report on coverage, risk assessment and results
  • Regulatory Coverage Monitoring: Implement a process to monitor coverage of LRRs. Analyze results & assess impact on the effectiveness of the Compliance function
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