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Audit Manager - Capital Markets
Ref No.: 18-02286
Location: Chicago, Illinois
Position Type:Full Time
Pay Rate : $ 125,000.00 - 140,000.00 /Year
Audit Manager
 
Summary
 
At Infinity Consulting Solutions (ICS), we pride ourselves in getting to know our candidate further than the bullet points on their resume. We want to know what your long-term goals and ambitions are to make sure we help you make long term career moves. ICS has excelled in creating strong relationships with top performing companies in the Chicago market which has opened many doors for driven professionals like yourself for many years.
 
Responsibilities
 
Serve as the Internal Audit Department's U.S. subject matter expert on Capital Market related matters, including SEC/Client and CFTC regulations
 
Assist in the development of a comprehensive audit plan that addresses key regulatory requirements and provides for sufficient third line of defense coverage
 
Develop detailed project plans that effectively incorporate appropriate risks, scope, staffing requirements, deliverables, timelines, budgets and client availability
 
Execute and document testing procedures for in-scope areas, including test of design, test of effectiveness and substantive testing to ensure results support audit conclusions and adherence to IA Department standards
 
Review testing documentation of seniors and staff to ensure the results support the testing conclusions and adhere to IA Department standards
Identify control gaps and opportunities for improvement
 
Develop and cultivate relationships with senior management and other key internal contacts, including management committee members and their direct reports
 
Work closely with management to promptly resolve any concerns that may arise and build trust. Serve as a business advisor and partner by providing the business unit and senior management with advice related to business issues and controls
 
Contribute to the positive and team-oriented culture by maintaining cooperative relationships (assisting other project teams when necessary), facilitating the resolution of conflicts, sharing information, and accepting and providing feedback
 
Demonstrate commitment to professional growth by assuming progressively more challenging assignments (in-line with standard audit career progression), proactively seeking relevant education and training opportunities, and expanding professional network
 
Requirements
 
Bachelor's Degree in Accounting, Finance or related field is required
 
Professional certification such as a Certified Public Accountant (CPA), or other relevant certifications is preferred
5+ years of relevant experience (e.g. audit, banking), with focus on business lines within capital markets activities
 
Knowledge of capital markets products and services (Derivatives – FX, interest rate, credit, equity, commodity, Corporate Finance, Market Risk management, etc.)
 
Familiarity with Client and related broker/dealer regulations
 
Project management skills, including the ability to manage shifting priorities
 
Strong analytical, written/verbal communication, interpersonal, and relationship building skills
 
High level of expertise in collaboration and communication with internal and external parties
 
Exemplify a positive attitude, strong work ethic, team work and professionalism
 
Ability to effectively operate in a dynamic and fast-paced environment