Our Client’s Capital Markets Audit team is currently seeking an Internal Audit Professional who will assist with the mission of the Internal Audit Division to provide independent, objective, assurance and consulting services designed to add value and improve operations. The Capital Markets team audits a variety of areas including: securities trading desks, middle and back office functions, enterprise risk management, counterparty and credit risk management, and valuation of complex financial instruments.

Responsibilities Include:

• Performing standard audit procedures, such as attending the entrance meeting, documenting walkthroughs, participating in sample selection, obtaining prior testing, performing testing of internal controls, and clearing outstanding review notes.
• Conducting audit reviews of the organization’s processes to ensure compliance and best practices
• Meeting with process owners to understand key risks, controls, and systems
• Creating findings/issues log, updating for identified findings/issues and documenting in reports and work papers that articulate the risks and root causes as well as overall risk story clearly and concisely.
• Identifying deficiencies in the design and operating effectiveness of controls and providing initial solutions.

Qualifications

• Minimum of 2 years of experience in public accounting or internal audit for a large financial institution; other relevant experience may be considered
• Bachelor’s degree in Accounting, Finance or related field
• CIA or CPA, or other related professional designation
• Demonstrated proficiency in audit methodology and risk/controls assessments
• Understanding of the general concepts in at least some of the areas such as securities trading desks, middle and back office functions, enterprise risk management, counterparty and credit risk management, and valuation of complex financial instruments is critical