Principal Auditor Consultant-Equities Trading

New York, NY 10005

Posted: 08/27/2018 Industry: Risk Assessment Specialist Job Number: 3338582
** Equities Trading Knowledge (2 years of experience minimum)**Trade Surveillance knowledge helpful**Understanding how trading operatesKey Responsibilities Execute audit fieldwork in line with the agreed audit approach e.G. Documenting Activity Flows, identification of key risks and testing of key controls to determine whether they are properly designed and are operating effectively and documenting work in accordance with Group Audit (GA) standards Complete all assigned work in line with agreed budgets, including ad hoc projects and special investigations Proactively develop and maintain professional working relationships with colleagues, the business and respective support areas Communicate openly with GA management and the internal stakeholders; keeps them informed of potential issues and escalate problems/delays accordinglyYou will have: Knowledge and experience of financial services, particularly institutional trading (Equities), and the operational requirements and regulatory environment of a US broker-dealer. Knowledge of electronic trading platforms is preferred. Experience in an audit function within a global Investment Bank Professional credentials, including degree level education and a relevant professional qualification (or equivalent) A proven track record of meeting client needs in a financial services environment Unquestionable personal integrity and ethicsYou will be: Experienced in delivering results in a fast moving, dynamic environment with proven ability to adapt and be responsive to changing customer, sponsor and stakeholder requirements Able to successfully navigate a complex and multi-national organization Able to build strong stakeholder relationships and work collaboratively with management teams and with other control functions Able to convey complex concepts and ideas on issues requiring interpretation and opinion Strongly self-motivated while confident with drive and enthusiasm

Harris Friedell
Recruiting Manager

Harris is a seasoned veteran in the recruiting industry, managing and enhancing the candidate and client recruitment process for the New York tri-state area. He is a proud father of two Rutgers University grads, and is enjoying his "empty nest" with his wife of 31 years.

Fun Fact: Although he is a Mets and Jets fan, he still tries to keep a smile on his face!

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