Senior Director, Internal Audit

Job Purpose

Position reports functionally to the designated Boards and Audit Committees in the UK, Europe, Abu Dhabi, and Singapore. The Senior Director has direct access to the Presidents of the exchanges, clearing operations and other designated subsidiaries in the UK, Europe, Abu Dhabi and Singapore for strategic matters and input on key risks, concerns, and audit activities. The Senior Director reports administratively to the Chief Audit Executive of Intercontinental Exchange.

Responsibilities

• Responsible for the provision of audit services and serving as the primary day-to-day contact for all business units, auditable entities and subsidiaries in the UK, Europe, Abu Dhabi and Singapore and other areas as assigned (e.g., hereafter relevant entities);
• Developing a thorough understanding of the Company's operations and supporting technologies across all major business units and product lines in the relevant entities and other areas as assigned;
• Develop an annual audit plan for each relevant subsidiary audit committee, using an appropriate risk-based methodology, including any risks or control concerns identified by management, and submit that plan to the relevant subsidiary audit committee for approval, including the related resource requirements for executing the plan;
• Implement the annual subsidiary audit plans as approved by the subsidiary audit committees, including, and as appropriate, any special tasks or projects requested by management and the audit committee;
• Oversee integrated operational, compliance, financial and regulatory audits for all relevant entities;
• Responsible for all aspects of audit including audit planning, execution, and reporting results to management;
• Performing and maintaining risk assessments for subsidiary audits and communicating the audit requirement to the Chief Audit Executive;
• Attracting, motivating, and developing a highly effective, diverse, and trusted team.
• Communicating and determining resource requirements necessary to carry out assigned audits and maintain oversight of internal and external resources;
• Communicating identified control deficiencies to management, effectively, both orally and in writing.
• Drafting or reviewing audit reports and conducting exit conferences with management to discuss findings and management's response;
• Maintaining effective relationships with management for assigned business areas;
• Issue periodic reports to subsidiary boards, audit committees and management summarizing results of audit activities;
• Maintaining good relationships with key regulators for the subsidiaries in the UK, Europe, Abu Dhabi and Singapore (and other areas as designated), including the Financial Conduct Authority, the Bank of England, , CFTC, Dutch Central Bank (DNB), the Dutch Authority for Financial Markets (AFM), Financial Services Regulatory Authority (FSRA), and the Monetary Authority of Singapore (MAS) and liaising with various other regulators as required and coordinating communications with management;
• Serving as the primary interface for assigned board and management committees and providing feedback on those activities to the Chief Audit Executive; and,
• Traveling to other locations as required for internal audit and training purposes.

Knowledge and Experience

• Bachelors degree or higher required with a commitment to maintaining or obtaining appropriate professional certifications (ACA, CIA, CPA, CFE, CISA, or CRCM).
• Minimum 10 years of experience in internal audit.
• Knowledge of financial company regulations and regulatory auditing standards preferred.
• Excellent communication, organization, and time management skills with appropriate attention to detail.
• Ability to perform multiple projects simultaneously.
• Experienced in the use and implementation of Internal Audit software and systems
• Must be proficient in Word, Excel, and PowerPoint.
• Experience in auditing exchanges, clearinghouses, or financial services regulation a plus.
• ability to travel 15-25 %; including internationally.

Schedule

This role is on-site in our London office.