We are looking for a talented Associate to join our EMEA Compliance, Conduct and Operational Risk (CCOR) Audit Team. This is your opportunity to play a crucial role in enhancing our organization's governance and operational excellence!
As a Senior Auditor, Associate, within the CCOR Audit team, you will be involved in executing testing as well as have opportunities to lead engagements covering activities performed by the EMEA CCOR team, for example controls related to: Employee Compliance, Regulatory Management, Surveillance, Control Room and non-public information oversight, etc. We are looking for a fast-learner who can work independently and collaborate well with team members.
The role is suitable for individuals with Compliance and Audit experience, particularly across the UK and EU and based in London.
Job Responsibilities:
- Execute, document, and participate in audit engagements, taking ownership for assigned tasks, and produce quality deliverables to both department and professional standards.
- Proactively collaborate with global teams within Internal Audit, including the Technology, Data Analytics, Regional and Line of Business Audit teams.
- Finalize audit findings and use judgment to provide an overall opinion on the control environment by developing recommendations to strengthen internal controls.
- Communicate audit findings to management and identify opportunities for improvement in the design and effectiveness of key controls.
- Stay up-to-date with industry trends, regulatory developments and emerging risks to drive robust ongoing audit coverage and provide thought leadership.
- Foster a business climate and culture that encourages integrity, respect, diversity, excellence and innovation.
- Maintain strong relationships with relevant stakeholders during the course of ongoing audit activities as well as via continuous monitoring efforts.
- Recognize the confidential nature of Internal Audit communications and access to information; exercise discipline in protecting the confidentiality and security of information in accordance with firm policy.
Required qualifications, capabilities, and skills
- Experience of internal or external auditing methodology or have a background in similar functions such as compliance monitoring and testing or controls management.
- Solid understanding of internal control concepts, with the ability to evaluate and determine the adequacy of controls by considering business and technology risks in an integrated manner
- Excellent verbal and written communication skills with the ability to present complex and sensitive issues to senior management and establish credibility
- Strong analytical skills particularly in regard to assessing the probability and impact of an internal control weakness
- Enthusiastic, self-motivated, strong interest in learning, effective under pressure and willing to take personal responsibility/accountability
- Flexible to changing business priorities and ability to multitask in a constantly changing environment
Preferred qualifications, capabilities, and skills:
- Professional certification (CPA or CIA), or degree in Finance or Accounting with willingness to pursue Professional certification
- Experience operating as part of a global team
- Analyzes complex data with sophisticated techniques and robust controls, identifies high-impact automation/ML opportunities, translates technical capabilities and data into compelling business cases and insights that drive decisions, and trains and advises teams on data practices and automation strategy