VP Internal Audit -

  • Base salary, bonus and excellent benefits.
  • New York, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 19 Oct 17 2017-10-19

Our client, a top tier global investment bank is seeking a Principal Auditor (PA) to join the Corporate & Investment Bank (CIB) audit team as part the expansion of the team established to drive enhanced coverage of Conduct risk and supervision processes globally.


Key responsibilities:
• Support the PAM - CIB Conduct & Supervision in the expansion of the team.
• Undertakes audit assignments, drafts audit issues / reports for review by audit management, facilitates issue tracking and validates closure of issue
• Executes day-to-day operational audit work and contributes to the delivery of audits (including the updating of Risk Assessment Profiles and the CAA process)
• Executes audit fieldwork in line with the agreed audit approach e.g. documenting Activity Flows, identification of key risks and testing of key controls to determine whether they are properly designed and are operating effectively and documenting work in accordance with Group Audit (GA) standards
• Completes all assigned work in line with agreed budgets, including ad hoc projects and special investigations
• Provide input to the risk assessments and approaches across CIB in relation to conduct topics
• Partner across CIB and other audit teams globally (in particular Compliance) to ensure comprehensive audit coverage and integrated approach to key risk topics
• Proactively develops and maintains professional working relationships with colleagues, the business and respective support areas
• Communicates openly with GA management and the internal stakeholders; keeps them informed of potential issues and escalate problems/delays accordingly.
• Keeps abreast of pertinent industry, regulatory and business practices
• Deliver and sustain own performance against key objectives in the context of functional strategies
• Support the development of an environment where people management and development is a priority
• Take ownership for own career management, seeking opportunities for continuous development of personal capability and improved performance contribution
You will have:
• Knowledge and experience of financial services particularly Investment Banking products, coupled with familiarization of working within the operational requirements and regulatory environment of a global Bank
• Thorough understanding of global banking control environment and compliance issues in the banking/finance industry in particular conduct and Front Office control topics
• Trading or 1st line controls / compliance experience would be an advantage.
• Professional credentials, including degree level education and a relevant professional qualification (or equivalent)
• A proven track record of meeting client needs in a financial services environment.
• Proven communication and presentation skills
• Unquestionable personal integrity and ethics
• Excellent team working capabilities and an ability to build strong business and team relationships
• Strong strategic/analytical thinking
• Strong project management and planning skills
• The capacity to respond to and support positive change
• Continuing development of technical expertise
You will be:
• Able to successfully navigate a complex and multi-national organization.
• Able to build strong stakeholder relationships and work collaboratively with management teams and with other control functions
• Able to convey complex concepts and ideas on issues requiring interpretation and opinion
• Independent in judgment
• Strongly self-motivated while confident with drive and enthusiasm
• Able to challenge and be challenged whilst maintaining the highest levels of professionalism
• Able to effectively multitask in a fast paced environment; priorities their workload with minimal supervision and be resilient under pressure
• Able to design and disseminate best practice and lessons learned to colleagues and stakeholders
• Experienced in delivering work under tight deadlines
• Excellent written/verbal communicator and be able to communicate effectively at all levels