Responsible for executing multiple areas of testwork during audit activities. Utilizes sound analytical skills and possesses product, business, and technical expertise to execute assigned audit testing responsibilities. Independently executes audit testwork on assigned audits and demonstrates sound project management skills. Raises issues and concerns and makes recommendations for severity ratings. Assesses issues for impact to business processes, controls and strategies, recommends severity ratings and escalation of broad themes or trends. Works with team and provides input to draft quality auditreports and supports sharingaudit results with business leaders. Begins to establish business partner relationships; primary engagement is with line management. Exercises critical thinking and judgment to effectively influence management to improve the control environment. Actively supports peers and audit team with development as part of on the job training during audit execution. Fosters a positive and inclusive work environment.
Knowledge of and exposure to Fixed Income markets products, e.g. Rates, FX, Credit businesses as well as high touch, electronic and derivatives trading activities.
General understanding of financial instruments valuation with a focus on trading and hedging strategies for the cash products, listed and otc derivatives, securities lending and financing products e.g. Repo.
Candidate should also be familiar with key securities industry regulations e.g. Volcker, SEC Capital and Client Asset rules and US market structure as well as the key processes and controls within the Business Supervision, Market Conduct, Finance, Operations and Middle Office functions.
Job number: 18035924