- Assist the Head of Audit in portfolio management, risk assessments, and audit planning.
- Take ownership of assigned areas during engagements, managing stakeholders internally and externally.
- Aid in planning engagements, identifying key risk areas, and producing high-quality Audit Planning Documents.
- Ensure timely production of all internal and external deliverables according to EIAO methodology and standards.
- Develop and execute effective tests of key controls, document audit work, and evaluate the overall effectiveness of controls.
- Escalate audit issues to senior management and collaborate with auditees to find solutions.
- Stay updated on regulatory requirements and financial market trends, integrating them into continuous monitoring activities.
- Maintain positive relationships with stakeholders to ensure smooth and professional audit planning and delivery.
- Follow up on issues to ensure satisfactory closure of Management Action Plans, including testing of remediated controls.
- Assist the Head of Audit in preparing management information and third-party submissions.
- Collaborate with internal audit colleagues regionally and globally, contributing to strategic initiatives as needed.
- Prior internal audit or Compliance experience in the financial services industry
- Expertise in compliance risks - Essential
- Previous involvement in at least one Core Compliance area (Advisory, Compliance Risk Assessment, etc.).
- Proficient in risk-based auditing methodology.
- Understanding of conduct risks and controls in first and second lines of defense.
- Familiarity with global regulatory requirements for markets business.
- Ability to work effectively in a small, focused audit team.
- Strong written and verbal presentation skills.
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AVP Compliance - London, United Kingdom - Bruin
Description
Exciting Opportunity: Join a Fabulous Team at One of the Largest and Most Well-Known Investment Banks
As an AVP Conduct & Compliance in Conduct & Compliance, your primary responsibility is to execute and deliver all audit engagements assigned by the Chief Auditor and Heads of Audit. You'll support the Head of Audit and Senior Audit Managers in this role, contributing to the annual planning process and maintenance of the audit risk universe. Your role involves developing subject matter expertise in your area of focus.
KEY RESPONSIBILITIES
WORK EXPERIENCE
Functional / Technical Competencies:
Please Note: We are not the company itself; we are recruiting on behalf of our client.
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