Senior Audit Manager - Global Equities
Click the Facebook, Google+ or LinkedIn icons to share this job with your friends or contacts. Click the Twitter icon to tweet this job to your followers. Click the link button to view the URL of the job, which then can be copied and pasted into an e-mail or other document.
Wilmington, DE 19806
Accountable for auditing moderate to complex businesses ranging in scale and scope. Implements and communicates Corporate Audits mission, goals and strategies. Responsible for developing an audit plan for assigned areas of responsibility including proper assessment and coverage of risks, including emerging risks. Demonstrates critical thinking, strategic mindset and leads and supports change. Executes assigned components of the audit plan in a timely manner, within quality standards and in conformance to audit policies and procedures. Assesses issues for impact to business processes, controls and strategies, assigns severity ratings and escalates broad themes or trends. Produces quality and timely audit reports that summarize results of an audit to management. Manages business partner relationships for areas of responsibly; primary engagement with line management. Exercises critical thinking and judgment to effectively influence management to improve the control environment. Participates in communication with regulatory agencies. Manages performance of the team, including expense management. Provides effective and frequent coaching and development to assigned audit team. Responsible for development, retention and personnel management issues. Fosters an inclusive work environment.
At least 12 years of financial services sales and trading audit and/or relevant experience, preferably within the Banking or Financial Services industry and/or strong knowledge of/experience in Global Markets/Investment Banking lines of business and support functions e.g. Product Control, Middle Office, Risk Management, Compliance, Operations, Settlement and Collateral management.
Knowledge of Global 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.
Awareness of basic application controls, as well as proficiency with spreadsheets and other analytical tools would be an advantage.
Understanding of applicable regulatory rules.
Excellent verbal and written communication skills.
Ability to interact with staff and managers across audit teams as well as key stakeholders in business areas including Front Office, Finance, Operations and Middle Office functions.
Ability to work in a team environment and supervise multiple project teams.
Bachelors or equivalent experience or Masters degree. CPA, CA or CFA preferred.
Awareness of basic application controls
Intermediate proficiency at using spreadsheets
Familiarity with key US laws and regulations pertaining to banking and broker/dealer securities trading & sales activities.
Posting Date : 08/09/2019
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
Assistance for Applicants with Disabilities
Bank of America is committed to ensuring that our online application process provides an equal employment opportunity to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to submit an application, please visit the Applicants with Disabilities page at http://careers.bankofamerica.com/us/applicants-with-disabilities .
Diversity & Inclusion
At Bank of America, our commitment to diversity and inclusion is helping us to create not only a great place to work, but also an environment where our employees, our customers and our communities around the world can reach their goals and connect with each other. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status.
Frequently Asked Questions
Need to know how to apply online, view a list of your submitted job applications or reset your password? Visit our FAQ at http://careers.bankofamerica.com/us/faq section for answers to these questions and more.