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Sr. Auditor
Ref No.: 18-02503
Location: New York, New York
Global Financial Firm has a Contract Opportunity in NYC


Group Audit (GA) is seeking a Principal Auditor (PA) to join its Corporate & Investment Bank (CIB) – Global Markets audit team. The position is based in New York and reports to the Principal Audit Manager (PAM) for Credit Trading (NY).


• Support the PAM – Credit Trading (NY) in developing the team and building out its technical expertise, particularly of more complex credit-related product offerings.
• Risk assess the full extent of the Division's Credit Trading activities and those of related control and support functions.
• Develop a comprehensive audit plan that achieves robust audit coverage of the Credit Trading business's end-to-end control environment.
• Lead the timely delivery of credit trading audit assignments from audit planning through fieldwork to reporting.
• Perform audits in line with the agreed audit approach to include documenting activity/process flows, identifying key risks and testing the design and operating effectiveness of key controls in accordance with Group Audit's standards.
• Execute day-to-day audit work in accordance with our Client's Group Audit Methodology and Group Audit's Quality Standards.
• Complete all assigned audit work, ad hoc projects and special investigations in line with agreed budgets.
• Draft audit issues including root cause and risk statements for review by Group Audit management.
• Monitor the remediation status of reported issues and perform independent validation of issue closure.
• Support Group Audit's continuous audit assessment (CAA) process between risk-based audits to identify changes in the Credit Trading business's risk and control profile.
• Provide input to risk assessments across CIB.
• Partner across CIB and other audit teams globally to ensure comprehensive audit coverage and an integrated approach to key risk topics.
• Proactively develop and maintain professional working relationships with colleagues, the business and control and support functions.
• Communicate openly with Group Audit management and internal stakeholders; keep them informed of potential issues and escalate problems/delays accordingly.
• Keep abreast of pertinent industry, regulatory and business practices.
• Deliver and sustain own performance against key objectives in the context of functional strategies.
• Support the development of an environment where people management and development is a top priority.
• Take ownership for own career management, seeking opportunities for continuous development of personal capability and improved performance contribution.