Audit Manager - Global Equities
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Wilmington, DE 19806
Audit is responsible for leading and managing audit work related to Equities trading and products including cash equities, high touch, electronic trading, derivatives, prime brokerage, stock loan and other equity financing products and services. Familiarity with US equity market exchanges/execution venues, clearing and settlement processes and market developments is required.
+ Typically acts as Auditor-in-Charge (AIC) and leads teams to deliver audit projects across multiple regional jurisdictions including the US, Europe, Latin America and Asia.
+ Requires the ability to demonstrate strategic thinking and intellectual curiosity.Needs to be able to assess business risks across the Equities lines of business while leveraging a strong understanding of data analytics, automation and audit concepts.
+ Oversees audit testing to ensure timely execution with quality standards and conformance to audit policies and procedures.Assesses control gaps for impact to business processes, controls and strategies, recommends severity ratings and escalation of broad themes and trends.Verifies management remediation steps to address control gaps are adequate and oversees/conducts validation of remediation actions.
+ Manages internal audit team and business partner relationships when conducing specific audit work, primary engagement is with line management.Exercises critical thinking and judgment to effectively influence management to improve the control environment. When leading an audit engagement, is responsible for day to day coaching, mentoring, and performance feedback. Fosters an inclusive work environment.
+ This role will have exposure to the Global Markets line of business and Control Functions (Risk, Compliance, etc…)
+ Candidate will have the ability to operate in a fast paced environment with multiple concurrent priorities.
+ 8+ years of Audit or Equities/Trading Experience
+ 3+ years of Global Markets Equities related experience
+ Strong written and verbal communications at all levels of management
+ Experience with automation and data analytics
+ Experience engaging with regulators.
Posting Date : 07/23/2019
East Hartford, CT, 99 Founders PLZ (CT2547),
Wilmington, DE, BRACEBRIDGE II, 1020 N FRENCH ST,
Boston, MA, 225 FRANKLIN ST (MA1225),
New York, NY, Jones Lang Lasalle, 1133 Ave of the Americas,
Charlotte, NC, BANK OF AMERICA PLAZA, 101 S TRYON ST,
Riverside, RI, 3400 Pawtucket Ave (RI1530),
- United States
Travel : Yes, 20% of the time
Full / Part-time : Full time
Hours Per Week : 40
Shift : 1st shift
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