Description
Senior Internal Auditor - Business
A Leading Financial Service are looking to hire an experienced Internal Auditor to work in their Business Auditing division.
Ideally with Product knowledge around either Retail Brokerage, MiFID or CAP (Compliance Audit Program).
The role can be based in one of 2 locations (City of London & Kent) but there will be regular travel between the two in order to work collectively within the wider Audit Teams.
Department Description
The firm's Internal Audit department provides independent, objective internal control evaluation alongside operational and technical review services to the management and shareholders of the collective companies.
Internal Audit staff have extensive experience in assurance functions and/or various business units and relevant professional qualifications.
The Global Audit team is based in the UK, Luxembourg, Germany, India, Hong Kong, and Tokyo reporting to the Group Audit Committee.
Product knowledge around either Retail Brokerage, MiFID or CAP (Compliance Audit Program).
Retail Brokerage: - Corporate Actions/Back Office/Processing
Purpose of your role
The role of the Senior Auditor is to deliver audit assignments, under the guidance of an Audit Director, to verify that business operations are effectively controlled and that risks are mitigated. During the six month contract, you will be required to plan and execute audit assignments in line with the business's audit methodology, producing audit findings and draft reports for presentation to Senior Management.
Key Responsibilities
*Work autonomously to execute planned audits, including preparation of audit scope coverage and work papers, and managing the completion of the audit within the given timeframe.
*Document audit testing using best practice and form conclusions based on the outcome of the testing.
*Identify areas in need of improvement and assist in development of an action plan.
*Prepare audit reports and liaise with department heads to obtain management agreement and responses.
Key Competencies
*Experienced auditor with good knowledge of financial services and more specifically asset management/retail fund distribution. Knowledge of transfer agent operations is preferred.
*Awareness of the regulatory environment and impact on our business.
*Ability to identify key risks within a business area and be able to establish what the required level of control should be.
*Identification of thematic weaknesses or root causes from our audit findings.
*The ability to form good working relationships with employees at all levels within the organisation.
*The ability to communicate effectively at all levels within the organisation.
*Ability to work independently to deliver a quality audit product on budget.
*Ability to present, and justify, independent views to senior management.
*Attention to detail, with ability to also see the wider impact.
*Add value through analytical and strategic thinking.