KEY CONTACTS AND WORKING RELATIONSHIPS:

• Establish and maintain relationships with key stakeholders within the Firm.
• Liaise with Front Office, Compliance, Financial Crime, Risk and Operational Functions to ensure clear understanding of the audit scope, issues and action point(s) required to address the findings.
• Director of IA and Head of IA for EMEA & APACGlobal Head of IA (as needed)

SKILLS:

• Minimum of 7 years’ experience of performing regulatory and compliance/financial/operational audits.
• Strong analytical and investigation skills.
• Excellent verbal and written communication skills.Strong project management skills and with supervisory experience leading small to medium size teams of auditors.
• A mix of Internal Audit, Compliance, Risk Management and/or consulting experience (preferably Big-4).
• Be able to hold meetings with management independently or drive the conversation to obtain audit results.
• Knowledge and/or experience of key regulations such as AML, SMCR, GDPR, MiFID II etc.
• Ability to follow directions and receive constructive feedback on work products submitted for review.Experience with automated internal audit workpaper solutions (GRC tools)

EDUCATION/ EXPERIENCE REQUIREMENTS:

• Bachelor’s degree in Accounting or Finance preferred.
• One or more certifications (e.g., CPA, CIA, CAMS) and/or graduate degree preferred.
• Minimum 7 years’ prior experience working in Internal audit within financial services

ROLE SUMMARY

The Senior Audit Manager is mainly responsible for performing and/or managing the business, regulatory, compliance and operation audits in accordance with the Internal Audit (IA) Plan. The role is also expected to assist in the annual risk assessment process and lead/manage department initiatives and special projects. Write and/or review detailed audit programs to test the processes and internal controls, document findings and liaise with the auditees, senior management and other stakeholders to confirm the accuracy of observations and agree upon action plans. Write and/or review clear, concise and persuasive audit reports and other documents summarizing level of risk, scope, findings, recommendations, and the current status of the issues.

MAJOR RESPONSIBILITIES:

To support the IA function in providing management and the Board with an independent assessment of the adequacy and effectiveness of the Firm’s processes for controlling its activities and managing its risks. The role is expected to work with the Global IA in accomplishing the following:

• Perform risk-based audit work, including detailed walkthrough meetings, documentation review, and testing of operating design and effectiveness. Validate data and analysis for accuracy in line with the audit strategy.
• Manage the work of project-specific teams and provide supervision and direction.
• Validate issues with auditees and liaise with management in proposing action plans to address the audit findings. Draft complete audit reports as final deliverables.
• Ensure that audits are delivered on time and to a high standard.
• Provide timely feedback to the Director and Head of Internal Audit on audit progress and deliverables.
• Utilize relationship management skills to build business relationships with audit clients.

• Manage and execute special projects as required.Agree the process and approve sign off of agreed IA actions