Senior Internal Audit Associate – Prime Financial Services

The Commodities and Digital Markets (CEM) Audit Team is responsible for assessing the adequacy and effectiveness of the control environment of the Currencies and Emerging Markets (CEM), Commodities and Digital Markets (including electronic trading) business activities. This is achieved through a program of audit coverage performed and managed by a team of business and technology audit specialists and coordinated on a global basis with colleagues in other regions. As a Senior Auditor - Associate in the Commodities and Digital Markets department, you will develop and execute the annual audit plan, manage audit engagements, and oversee and perform audit testing. The role provides the opportunity to develop a detailed understanding of CIB Markets, specifically CEM, Commodities and Digital Markets businesses, including electronic trading. Job Responsibilities Lead and participate in audit engagements, from planning to reporting, and produce quality deliverables to both department and professional standards, while ensuring audits are completed timely and within budget. Work closely with global Audit colleagues in the early identification of emerging control issues, and report them in a timely manner to Audit management and business stakeholders. Recognize the confidential nature of Internal Audit communications and access to information; exercise discipline in protecting the confidentiality and security of information in accordance with firm policy. Partner with stakeholders, business management, other control groups (i.e. risk management, compliance, fraud prevention), external auditors, and regulators, establishing strong working relationships while maintaining independence. Finalize audit findings and use judgment to provide an overall opinion on the control environment by developing recommendations to strengthen internal controls. Communicate audit findings to management, and identify opportunities for improvement in the design and effectiveness of key controls. Implement and execute an effective program of continuous auditing for assigned areas, including monitoring of key metrics to identify control issues and adverse trends. Effectively manage teams where required, performing timely review of work performed and providing honest and constructive feedback. Stay up-to-date with evolving industry/regulatory changes impacting the business and participate in appropriate control forums. Champion a culture of innovation. Follow the firm’s 'How We Do Business' Principles. Find ways to drive efficiency with existing technical infrastructure through automation while embracing the innovative opportunities offered by new technologies. Required Qualifications, Skills and Capabilities Extensive internal or external auditing experience, or relevant business experience. Bachelor's degree (or relevant financial services experience) required. Experience with internal audit methodology and applying concepts in audit delivery and execution. Solid understanding of internal control concepts, with the ability to evaluate and determine the adequacy of controls by considering business and technology risks in an integrated manner. Excellent written, verbal, and presentation skills; adept at presenting complex and sensitive issues to senior management. Strong interpersonal and influencing skills, with the ability to establish credibility and build partnerships with senior business and control partners. Strong analytical skills, particularly in regard to assessing the probability and impact of an internal control weakness. Enthusiastic and self-motivated, with a keen interest in learning; effective under pressure and willing to take personal responsibility/accountability. Flexible to changing business priorities and ability to multitask in a constantly changing environment. Preferred Qualifications, Skills and Capabilities CPA, CIA, and/or Advanced Degree in Finance or Accounting is preferred.

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