Internal Auditor - Ref: 7484 / Maze ID 75

JOB DESCRIPTION
Job title: Internal Auditor Ref: 7484 / Maze ID 75
Corporate Title: Associate
Department: Internal Audit
Location: London
An agency-only broker that executes trades for asset management firms, hedge funds, insurance companies, mutual funds and pension funds. Headquartered in New York, that provides sales trading services, trading technologies, trade cost analytics, commission management, independent research and dark pools of liquidity.
Department Overview:
The Global Internal Audit department is a key part of corporate governance and its primary objective is to review the company's control environment and report any weaknesses identified to the Audit Committees and senior management.

The EMEA Internal Audit department comprises 46 professionals, who have responsibilities across business lines, middle and back office support, Risk Management, Compliance and Information Technology.

Globally Audit responsibility is managed by the Global Portfolio Director and Global Investment Banking in the Americas with EMEA oversight provided by the Wholesale Division Global Head of Internal Audit, who is based in London.

Role description:
• Manage and support internal audits of areas across the business and technology environment in Europe (primarily London and Frankfurt).
• The position has responsibility for annual audit planning and risk assessment, continuous monitoring, audit execution, and audit issues follow-up.
• Execute audits in accordance with departmental standards and conduct effective risk assessments on processes/functions (impact versus likelihood) during the audit. Ensure consistent delivery of assignments on time and to quality and methodology standards.
• Assist with the continuous monitoring programme for the coverage of businesses across Europe, including regular meetings with key auditees and evaluating any changes in the risk profile of which might result in a change in the audit plan, risk assessments or audit universe.
• Manage and perform risk assessments, across Europe using the departmental risk assessment methodology.
• Support IA's strategic initiative for Data Analytics by being an active supporter and contributor to this initiative. Advocate and develop audit colleagues to utilise data analysis to improve and enhance the audit approach.
• Direct and carry out pre-implementation reviews, special projects, ad hoc investigations and advisory work where required.
• Continually seek to improve audit and departmental processes.

Skills, experience, qualifications and knowledge required:
• Strong background and experience of auditing an electronic trading environment and supporting operational processes gained through a combination of education and work experience in a brokerage or financial institution that is subject to global regulatory standards and mandates.
• Relationship Management: Has proven ability to build strong relationships with auditees and can effectively manage upwards at senior levels. Demonstrates clear understanding of the business needs and exceeds expectations. Able to network and manage relationships across the organisation and in the wider financial services industry.
• Strong background and experience of managing and executing audits within a brokerage environment. Experience should include, electronic trading, sales and client on-boarding, clearing and settlements, transaction reporting, risk management, working knowledge of assessing against key regulatory requirements and expectations (MiFID II RTS 6, FCA and BaFin expectations) and providing an audit opinion on areas such as governance, operations and regulatory impact associated with algorithmic trading activity.
• Experience of developing and executing data analytics to gain audit assurance over audit activity.
• Experience of successfully performing regional audit projects, as well as performing multiple audits concurrently.
• Strong analytical skills with the ability to identify key risks and control weaknesses, and sound judgement on the criticality and impact of issues identified, with a risk and commercial focus.
• Good knowledge of business resiliency, outsourcing management, and IT application controls.
• Confident manner and strong communication skills, both oral and written.
• Strong time and project management skills, consistently delivering to deadlines (budget and time). A proven ability to work effectively on multiple tasks, exercise good judgement in prioritizing one's own workload to meet deadlines.
• A bachelor's degree or higher education qualification supported by work experience as a Business auditor in a financial services firm, Consulting firm or Big 4 firm.
• ACA/ACCA/CISA or equivalent qualification preferred.
• Sound knowledge of general auditing principles and best practices and standards, and experience of using agile audit techniques.

Competencies
Trusted Partner
• Understand clients' needs and issues, and respond with high-quality proposals
• Acquire capabilities to perform one's responsibilities and contribute to being a Trusted Partner

Entrepreneurial leadership
• Produce new ideas that might challenge the status-quo or oneself
Teamwork Collaboration
• Seek advice from senior colleagues and utilize it for improved results
• Collaborate with members from relevant departments
Influence
• Contribute to the success of the organization both quantitatively and qualitatively, and act with awareness of the impact on others
• Serve as role model and provide guidance to junior employees
Integrity
• Have a good understanding of corporate philosophy, professional ethics, compliance, risk management, and code of conduct, and make decisions and take actions accordingly