Audit Manager, Global Markets Equities

Posted 2 Days Ago
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New York, NY
Senior level
Cloud • Information Technology • Consulting
The Role
The Audit Manager for Global Markets Equities oversees audit work, executing risk-based strategies, managing audit integrity, and mentoring team members. Responsibilities include assessing business impacts, managing relationships, and communicating findings effectively while ensuring compliance with regulatory standards.
Summary Generated by Built In

Role: Audit Manager - Global Markets Equities
Hybrid (3 days onsite and 2 days work from home)
Job Description:
This job is responsible for overseeing assigned areas of audit work acting as an Auditor-in-Charge (AIC), and executing on the audit strategy for Lines of Business (LOBs). Key responsibilities include driving risk-based auditing by defining scope and test procedures to evaluate the control environment in conformance with audit policies, assessing issues for business impact and recommending severity ratings, drafting audit reports, and managing business partner relationships. Job expectations include fostering an inclusive work environment, and mentoring team members.

This job is responsible for overseeing assigned areas of audit work acting as an Auditor-in-Charge (AIC), and executing on the audit strategy for Lines of Business (LOBs), primarily of Global Markets Equities, Futures and Options, and Research. Products include cash equities (high touch and low touch electronic trading), derivatives, prime brokerage, stock loan and other structured equity financing products. Familiarity with US equity market regulations, exchanges/execution venues, clearing and settlement processes is preferred.

Responsibilities:

  • Executes audit strategy for the sound application of risk-based auditing by defining audit scope and audit programs, and drafting audit reports leveraging automation and innovative methods in a timely and high quality manner
  • Acts as Auditor-in-Charge (AIC) by overseeing audit testing and ensuring it is executed in a timely manner and conforms with quality standards, audit policies, and procedures
  • Assesses impacts to business processes, controls, and strategies to provide recommendations on severity ratings and escalate broad themes or trends accordingly based on existing business knowledge
  • Exercises intellectual curiosity and judgment to effectively influence and challenge management to improve the control environment and drive continuous improvements on audit
  • Oversees a team of associates and provides day-to-day mentoring and guidance and fosters an inclusive work environment
  • Maintains business partner relationships, primarily with line management, to develop business knowledge
  • Exercises sound knowledge of product, business, and technical expertise to effectively challenge management to improve the control environment
  • Specifically, knowledge of trading and hedging strategies, supervisory procedures, P&L attribution, risk management, operational processes and regulatory landscape strongly preferred.
  • Experience in validation of audit and regulatory issues. Support in preparation of regulatory exams by creating presentation materials and providing timely responses to inquiries.
  • Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery.
  • Effective influence skills in communicating findings. This individual must be an articulate and effective communicator, both verbally and in writing.
     

Required Qualifications:

  • Minimum 6 years of audit experience in areas related to capital markets, equity and equity linked products, derivatives, front office risk management, laws and regulations, banking regulations, local standards, and internal policies.
  • Minimum 2 years of experience leading audits and performing in the role of auditor-in-charge.

Desired Qualifications:

  • Bachelors or Master's Degree in Business, Economics, Finance, or other quantitative field or Master of Business Administration.
  • Chartered Financial Analyst (CFA), Financial Risk Manager (FRM), Certified Internal Auditor (CIA) or relevant securities licenses preferred.
  • Intermediate Analytical / Automation Skills (SQL, Alteryx, Advanced Excel and Access)
  • Experience of working in large, global financial institution, preferably a bank or large brokerage house.
The Company
Gurugram, , Haryana
21 Employees
On-site Workplace
Year Founded: 2014

What We Do

Bringing Business Ideas to Digital Life~
Since 2014, Tech Brains Solutions Inc., a women and minority-owned organization, has been helping small businesses and large enterprises alike in realizing their fullest potential by bridging the best of ideas, talent, and technology.

Our strength lies in our core engineering teams' ability to adapt cutting-edge technologies and deliver on new trends such as AI, Blockchain, NFT, Web 3.0.
Our prestigious clientele consists of global leaders and Fortune 500 companies across industry verticals, including Healthcare, Fintech, AdTech & Media, eCommerce, and Security Compliance.

Our Service Capabilities:
1. Integration Services
Success Stories:
- Fortune 1000 fincorp upsurges ROI by 70% with TechBrains genx reporting solution -
For a global leader in Investment Management, we did an upgrade of their BIRT reporting tool solution but provided extended value with a rule-based, heuristic, and predictive utility to auto-test hundreds of reports in any language.
- Real Estate Crowdfunding Made Virtual & Digital.
- Reusable Drupal framework for Professional Services

2. Cloud Enablement
Success Stories:
Future-Proof Cloud Infrastructure for Leading provider of Smart connected healthcare devices.

3. Application & Platform Development
Success Stories:
- Automated PDF Comparison Test Utility Tool.
- Native ad serving for a Pharmaceutical giant.
- UI migration for SEO improvements.
- Mobile subscriber monetization.
- Web platform for Publishers and Advertiser and integration with different Ad Exchanges.
- Mobile Payment App that allows users to transfer money virtually to each other, pay their utility bills, and even organizations distribute salaries to their employees.
- Blockchain implementation.
- Investment compliance survey application.
- GRC application.

4. Professional Services

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