Audit Manager
2 months ago
- Internal audit/ risk management experience (with degrees and certifications such as: CIA, FRM, CFA are a big plus)
- CCAR knowledge (from a regulations and practice perspective, familiarity with SR15-18, ROPE letter, reg reports like Y14 etc.)
- Banking experience (worked with banks in internal audit or with regulators in auditing banks)
- Performed Capital Planning and CCAR/DFAST audit reviews from planning through reporting within established budgets and the time frames for audit completion
- Prepared audit planning documentation, participating in walkthroughs, and assessing the internal control environment through control and substantive testing
- Evaluated the adequacy of design and effectiveness of key controls and potential business concerns by analyzing available documentation and asking insightful questions to identify root causes and drawing the appropriate conclusions
- Documented the results of work performed including cross-referencing, checklists, indexing, documentation maintenance, documented exception follow-up procedures
- Developed audit findings and documented business concerns, risks, root causes, and recommendations in writing for inclusion in the Audit Report
- Contribute to risk assessment profiles / business monitoring and the overall implementation of group audit methodology.
- 6 - 10 years proven Risk Management experience in Banking Capital Markets /Investment Banking /Broker Dealer function or related industry is a must.
- Bachelor's degree in Finance, Accounting and / or Business Administration.
- Professional Certification such as CIA, CPA, CISA or FRM is preferred, but not required
- Professional individual with excellent communication skills and the desire to inspire motivate and develop themselves and the team.
- Strong understanding of risk especially stress testing, scenario design and financial products. Capital planning experience is an advantage but not required.
- Strong control mind-set and strong auditing skills is a must. Experience in drafting audit issues is also an advantage.
- The consultants must have the ability to identify the most important controls during walkthroughs, test the effectiveness of these controls and assess any risks from ineffective operating effectiveness.
- Candidates should have between 6-10 years of experience looking at controls within risk management and/or capital planning primarily covering scenario design, stress testing and risk identification controls.
- Ability to pro-actively develop and maintain professional working relationships with colleagues, the business and respective support areas and work in an integrated manner with fellow team members both locally and globally.
- Ability to develop and maintain broad financial services experience, Bank knowledge and technical expertise. Keeps current on business/industry changes and their effect on the audit plan/approach and Risk Assessments.
- Working knowledge of key financial and regulatory reporting risks. Strong understanding of banking and capital markets products, key banking regulations e.g. Basel II/III, CCAR, regulatory reports e.g. Call Reports, FRY-14/9C or FFIEC 101 considered a plus.
- Flexible, pro-active, self-sufficient and innovative individual with strong organizational and multi-tasking skills to take ownership and responsibility of agreed targets and meet them within budget to enable a timely and efficient completion of audit projects.
- Excellent written / verbal communication skills and be able to communicate effectively at all levels within Group Audit and with the client.
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