Audit Supervisor- Global Markets

Job Description:
This job is responsible for independently performing test work during highly complex audit activities for Lines of Business (LOBs). Key responsibilities include independently designing and executing audit tests, assessing issues for business impact and recommending severity ratings, and establishing business partner relationships. Job expectations include evaluating the control environment, fostering an inclusive work environment, applying product, business, and technical expertise, and supporting team members with development.

Responsibilities:

• Executes audit strategy for the sound application of risk-based auditing by defining audit scope and audit programs, and leverages automation and innovative methods in a timely and high quality manner

• 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.

• Exercises sound knowledge of product, business, and technical expertise to effectively challenge management to improve the control environment

• Assesses impacts to business processes, controls, and strategies to provide recommendations on severity ratings

• Provides input on draft audit reports and shares audit results with business leaders

• Supports the development of peers and teams through on-the-job-training and fosters an inclusive work environment

• Establishes business partner relationships, primarily with line management, to develop business knowledge

• Uses innovative tools to complete audit activities more efficiently (e.g., testing)

Required Qualifications

• Minimum 3 years of Audit, Risk, Business Control, Compliance, Finance, or other relevant experience

• Ability to plan, execute and evaluate audit test plans within a risk based audit methodology.

• Sound organizational, analytical, oral, and written communication skills. 

• Ability to successfully communicate to influence management and lead change in both strategic and tactical   initiatives.

• Self-starter, desire to learn able to teach others, positive attitude, exhibits flexibility and intellectual curiosity.

• Strong analytical skills.  Ability to analyze large amounts of data and turn it into usable information.

• Ability to work in a very detailed manner as well as to look broadly across a population and develop connections and themes identifying risk and concerns.

• Ability to juggle multiple work efforts and to quickly change direction, as needed.

• Proficiency in Microsoft Office Products

• Ability to converse with management on all levels.

• Excellent written and oral communication skills, ability to converse with management on all levels.

• Bachelor’s degree or relevant experience

Desired Qualifications

• Familiarity with Global Markets – FICC lines of business, including trading and hedging strategies, supervisory procedures, P&L attribution, risk management, operational processes and regulatory landscape.

• Audit or risk control risk/controls background in financial services

• Intermediate Analytical / Automation Skills (SQL, SAS, Advanced Excel and Access)

• Advanced degree

• CPA professional designation.

• Strong presentation skills

Skills:

• Analytical Thinking
• Audit Planning
• Internal Audit Review
• Issue Management
• Risk Management
• Attention to Detail
• Automation
• Business Acumen
• Project Management
• Technical Documentation
• Coaching
• Critical Thinking
• Relationship Building
• Written Communications