Senior Manager – Audit Capital Markets, Market Risk

7th June 2017
Job Type


Our client, a leading tier 1 International Bank are seeking a Senior Manager to join their Internal Audit, Capital Market division. The successful candidate will be required to have extensive product knowledge, knowledge on market risk management techniques, operational processes and controls, as well as the US regulatory environment. The individual should be proficient at applying risk-based auditing standards, practices, techniques, processes and methodologies to the performance and review of audits

This is a position requiring expert knowledge and skillsets in the audit of application controls, data governance principles and projects. This is a position requiring expert knowledge and skillsets in the audit of application controls, data governance principles and projects.  The successful candidate will be responsible for covering risks associated with outsourced IT services. Some technical Infrastructure (Operating systems, databases, middleware, networking and Data Centre operations) and knowledge of Capital Market, Treasury and Anti Money Laundering application and data controls would be an advantage.

The incumbent will be required to work as part of a team that audits major business lines (Global Banking and Market, Group Treasury, Risk Management IT and Global Wealth) and assist the Director, IT Audit and the US Chief Auditor in assessing IT controls in different locations that relate to these business lines.


  • Annual Planning - Assist the Director, where required, in the development of the annual Audit USA Plan and in the continuous evaluation of the plan to ensure that all high risk areas are being addressed
  • Identify systemic/emerging issues and changes planned/undertaken by the auditee that will impact the audit plan through discussion with the OIC and Audit Principal
  • Develop a thorough understanding of the business, risks and processes for assigned projects through a review of the Business overviews, Risk Assessment Database, Bank manuals and other related information
  • Engagement Planning - Execute and manage assigned activities independently in accordance with the Department Standards ensuring the nature and extent of testing is appropriate to support the audit opinion
  • Problem Identification Ensure audit results are gathered, determine the root cause of the problem and associated impact, and report accordingly with limited supervision
  • Prepare and/or review audit findings for presentation to management
  • Reporting/Communication :Written reports and correspondence demonstrate good understanding of issues with key risks clearly articulated and materiality and associated impact clearly explained in accordance with the Department Audit Methodology
  • Present findings to line management and conducts audit closings including a discussion/presentation to management with an overview of the audit results and findings for those assignments with some assistance from more senior audit personnel


  • Degree, Masters or PhD
  • Extensive financial institutions audit (internal or external) experience, focused on capital markets activities,  6-13 years’ experience required
  • Ability to multi task complex audits and work with other audit teams will be essential;
  • Effective written and oral communication skills;
  • Good knowledge of complex financial instruments, associated operational risks and accounting & reporting implications.
  • Extensive knowledge of the regulatory environment in the US.

For any more information please contact or call +1 (646) 618-8863

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