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AVP - Internal Audit -Banking & Research
Location : New York, New York City
Refer job # KRVR337553

Job Responsibilities and Requirements: We strive to: Attract and retain the most talented and diverse internal audit team. Target excellence in our performance and continuously review our innovative yet simple audit processes to maximise BIA efficiencies. Using our integrity and judgement, we audit the right things in the right way at the right time. Partner with clients to maximise the effectiveness of the Governance and Control Environment. Positively contribute to the Group Citizenship Plan. Internal Audit (BIA) Vision: Leaders in Assurance. Be Brilliant: Leading edge assurance Leading edge people Leading edge thinking Be Impactful In the business In the community In the profession Be Agile Be independent Be a respected voice Be innovative and efficient Overall Purpose of Role Work collaboratively with other team members to deliver high quality assurance and help and BIA achieve their objectives. Assessing the inherent risk and control environment as well as deriving the audit need in the Banking and Research business areas. This will entail having meetings with key clients (such as Investment Bankers or Capital Markets, Infrastructure, and Second Line of Defense personnel) to understand key changes, emerging risks, and areas of concern. The role holder is responsible for: Execution on audits in the Corporate & Investment Banking Division (CIBD) - private side Banking, Capital Markets and Research business areas, including scoping, fieldwork and reporting. Key Accountabilities Own and drive personal learning to support achievement of career aspirations Provide constructive feedback and evaluation to team members for audit assignments including upward feedback. Support the audit teams on a day to day basis, working to ensure that audits deliverables are met as planned, with regards to scope, budget and timetable Identify, assess and document risks/control objectives and controls Write high quality audit issues and support the Audit Lead in writing the report. Discuss and agree the factual accuracy of audit issues while owning objective opinion and maintaining independence Provide suggestions to management for actions to address control issues identified. Continue to update awareness of risk issues and changes across relevant business units and support the audit team in using this knowledge to amend audit approach where necessary Stakeholder Management and Leadership Build trusting and open relationships with clients on each audit and develop ongoing relationships with key clients in aligned business area. Develop a wide network of contacts across BIA and the business to identify and work towards common goals Work effectively with other BIA specialist teams (e.g., Risk, Finance, Regulatory and Compliance, IT) Foster an environment to encourage knowledge sharing, asking questions and sharing viewpoints with BIA colleagues and peers in the business Decision-making and Problem Solving Make decision on a broad range of factors, with values at heart. Propose and add input on audit scope decisions to ensure that relevant risks and controls have been indentified and accurately assessed Make sound rationale to be able to support stakeholders with identifying risk mitigation resolutions and solutions for control issues identified Be creative and commercial using a variety of methods and solutions to address the root cause of the problem (e.g., audit issues identified are appropriately prioritized for impact, root causes are appropriately understood and documented) in coordination with the Audit Lead. Develops and implements best practice solutions (i.e. audit execution efficiency) Basic Qualifications/Skills Four year college degree 3 years of audit experience (internal, external or both) 3 years of Capital Markets and Investment Banking industry experience Preferred Qualifications/Skills Experience in risk based auditing Good knowledge of Investment Banking products (M&A, Debt and Equity Origination, Leveraged Finance, Risk Solutions), full service Research function, relevant regulations and market working practices and deal transaction lifecycle. Practical understanding of the relevant regulatory environment Experience in executing with minimal supervision on audit assignments Displays willingness and initiative to learn and share knowledge about new products and markets Team player; strong communication skills; and good attention to detail Graduate degree and / or relevant professional qualifications / licenses (e.g. CPA, CIA, MIIA, ACCA, CISA, series 7, 24, 63, 79, ACAMS); and Proven track record of high performance in previous role(s). Risk and Control Objective All colleagues have to ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Policies and Policy Standards.



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