Vice President, Auditor, Markets

In this role, you will make an impact in the following ways: 

• Oversees risk-focused audit activities, in accordance with Internal Audit policies, methodologies, and standards to identify meaningful issues, risks and other exposures in areas being audited.
• Collaborating with Audit Leadership team to determine and prioritize regulatory priorities and business strategies.
• Working as an “in-charge” on audits and/or regulatory validations related to Swap Dealer Risk Management, market risk management, global markets trading, securities finance, liquidity and margin services. 
• Familiar with key aspects of the Market Risk Management (MRM) framework including market risk regulatory capital calculations, related regulatory reporting (FFIEC102), VaR/SVaR back testing, market risk limits, covered position recognition, implementation of forthcoming Fundamental Review of the Trading Book (FRTB) requirements. etc.
• Has demonstrated ability to articulate difficult concepts to others, adapting communication methods/approaches as necessary.
• Providing Senior Management with recommendations and consultation to improve reimagine audit processes and practices. 
• Identifies inconsistencies with the control environment, regulatory requirements and best practices and initiates the development of a structure or solution to address the issue(s).
• Strong project management skills creating long- and short-term plans, including setting targets for milestones and adhering to deadlines.
• Working with relevant stakeholders to deliver, monitor and communicate progress towards goals.
• Identifying and providing recommendations on improvements across the organization
• Identifies opportunities for the use of automation and makes recommendations for software support requests.
• No direct reports. Demonstrates leadership through work guidance and training of less experienced peers and through advice to assigned clients.

To be successful in this role, we’re seeking the following: 

• Bachelor's degree or equivalent combination of education and work experience required.
• 7-10 years of total work experience preferred.
• Prior experience in Internal Audit and/or Knowledge and experience in the following areas preferred:
  • Market Risk Management; including global regulatory requirements
  • Capital Markets, including:
    • Fixed income & Equities Trading
    • Broker Dealer compliance
  • Foreign Exchange Trading (Spot, Forwards, Derivative. Options)
  • Derivatives Trading (Interest Rates/Equity)
  • Swap Dealer (CFTC Rule Compliance)
  • Securities Finance
  • Liquidity and Margin services  
• Familiarity with new innovative AI-enabled audit testing and continuous auditing concepts is a plus.
• Additional core skill requirements include understanding of the applied and interpretation of analytics results for Audit, critical thinking and problem solving.