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Job Description:

This role will use expertise gained auditing Global Markets or closely related areas (i.e.: market risk management, product control or GM specific compliance) to execute audit work with a focus on supervision and trade surveillance. This experience may not come from a classic Audit background, but rather from transferrable skills from a first or second line function associated with Sales and Trading. This role will build on a good working knowledge of market conduct risk and market abuse scenarios gained, for example, while working on FX consent order remediation or validation

Responsibilities:

• Responsible for executing multiple areas of test work during audit activities.
• Use analytical skills and/or technical expertise to execute assigned audit testing responsibilities and identify opportunities to automate testing or create continuous monitoring.
• Independently execute audit test work on assigned audits in a timely manner and with high quality.
• Identify control deficiencies, discusses with line management and initiates control matter recommendations in assigned test areas.
• Demonstrate project management skills.
• Raise issues and concerns and make recommendations for severity ratings.
• Assess issues for impact to business processes, controls and strategies; recommends severity ratings and escalation of broad themes or trends, engages in discussions about risk and demonstrates business knowledge.
• Establish business partner relationships; primary engagement is with line management.
• Exercise critical thinking and judgment to effectively influence management to improve the control environment.
• Strive to improve processes and challenge the status quo to improve existing operating environment.

Required Qualifications:

• 4 years' compliance/business controls/risk management role with specific experience/coverage of trading desk activities across either Equities or Fixed Income, Currencies and Commodities asset classes.
• Working knowledge of Global Markets with a focus on market conduct risk related supervision and trade surveillance

Skills:

• Internal Audit Review

• Issue Management

• Risk Management

• Audit Planning

• Analytical Thinking

• Project Management

• Automation

• Technical Documentation

• Attention to Detail

• Business Acumen

• Relationship Building

• Coaching

• Critical Thinking

• Written Communications

Shift:
1st shift (United States of America)

Hours Per Week:
40

Pay Transparency details

US - NY - New York - 114 W 47TH ST (NY8114)

Pay and benefits information

Pay range

$100,000.00 - $125,000.00 annualized salary, offers to be determined based on experience, education and skill set.

Discretionary incentive eligible

This role is eligible to participate in the annual discretionary plan. Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors, the performance and contributions of their line of business and/or group; and the overall success of the Company.

Benefits

This role is currently benefits eligible. We provide industry-leading benefits, access to paid time off, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.