Internal Audit

Job Description

The opportunity EY is to seeking a candidate to execute audit coverage of the firms Compliance organization, with a focus on Broker-Dealer compliance, Anti-Money Laundering program and Anti-Corruption program. Your key responsibilities The Candidate will be involved in the development, planning and/or performing of Compliance audits across the firm with a focus around EMEA regulations and including: Assisting in the preparation of audit planning memoranda. Identifying and evaluating key risks and contributing to establishing audit scope. Leading walkthrough meetings and discussions with the purpose of developing audit test programs and identifying control issues. ¢ Executing audits in line with audit test programs and within time budgets and leading certain aspects of audits/reviews. ¢ ¢ ¢ Appropriately assessing potential findings for significance. Drafting audit reports; writing clear and concise findings Communicating audit findings to the Internal Audit lead auditor and client management; assist with negotiating finalization of issues with senior client management. Track implementation of recommended processes designed to strengthen internal controls. Developing solid working relationship with clients ¢ ¢ ¢ Ability to travel when required (minimal). Skills and attributes for success ¢ ¢ Minimum of 6+ years of audit or compliance experience with a financial services firm is essential with a focus on regulatory compliance. Working knowledge of the financial services regulatory environment with an emphasis on Compliance activities and broker/dealer rules and regulations Strong communication, interpersonal skills and team skills; Ability to work globally and across teams ¢ ¢ ¢ ¢ ¢ ¢ ¢ ¢ ¢ Proven ability to manage projects. Proficient understanding of the internal audit process; Proven ability to collaborate within a team structure; Proven ability to learn quickly and think critically; Strong written and verbal communication skills; Proven ability to work on multiple assignments, while meeting deadlines; Able to work independently with multi-tasking To qualify for the role you must have ¢ ¢ ¢ Bachelors Degree in Business, Finance, Accounting with 5-7 years of experience. Certified Internal Auditors from IIA or Chartered Accountant from ICAI MBA or Post Graduate degree is preferred. ¢ ¢ Big 4 experience preferred. Prior regulatory experience or experience communicating with regulators a plus Ideally youll also have ¢ ¢ ¢ ¢ Strong communication, facilitation, relationship-building, presentation and negotiation skills. Be highly flexible, adaptable, and creative. Comfortable interacting with senior executives (within the firm and at the client) Strong leadership skills and supervisory responsibility. What we look for People with the ability to work in a collaborative way to provide services across multiple client departments while adhering to commercial and legal requirements. You will need a practical approach to solving issues and complex problems with the ability to deliver insightful and practical solutions. What working at EY offers EY is committed to being an inclusive employer and we are happy to consider flexible working arrangements. We strive to achieve the right balance for our people, enabling us to deliver excellent client service whilst allowing you to build your career without sacrificing your personal priorities. While our client-facing professionals can be required to travel regularly, and at times be based at client sites, our flexible working arrangements can help you to achieve a lifestyle balance. About EY As a global leader in assurance, tax, transaction and advisory services, were using the finance products, expertise and systems weve developed to build a better working world. That starts with a culture that believes in giving you the training, opportunities and creative freedom to make things better. Whenever you join, however long you stay, the exceptional EY experience lasts a lifetime. And with a commitment to hiring and developing the most passionate people, well make our ambition to be the best employer by 2020 a reality.