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Global Internal Audit - Snr Mgr - Markets, Securities Services

  • Location:


  • Sector:

    Risk & Compliance

  • Job type:


  • Salary:


  • Contact:

    Leonard Lim

  • Contact email:

  • Job ref:


  • Published:

    ongeveer 1 maand geleden

  • Expiry date:


  • Startdate:


My client is a Market Leading Bank.

The Global Internal Audit team provides independent, objective assurance to management and the risk and audit committees as to whether the framework of risk management, control, and governance processes, as designed and represented by management, is adequate.


  • Lead and coordinate large single-site front-to-back audits of Markets, Securities Services as well as Global Banking businesses and be responsible for the execution of all stages of the audit lifecycle: announcement, team management and preparation, logistics, planning, fieldwork, testing, documentation and review, issue writing and agreement, report delivery, post-report issue validation, and ongoing stakeholder engagement
  • Execute a programme of continuous monitoring for a defined portfolio of businesses and countries through regular bilateral meetings with stakeholders, participate in business governance forums, ongoing analysis of businesses' risk profiles, and delivery of continuous monitoring reports
  • Manage people, helping them to define and execute on personal development objectives, design and deliver training sessions and execute mentoring or one-on-one coaching sessions, and assist in developing and delivering people initiatives to help our team be at their best
  • Contribute to the wider development of Global team, through collaborating with other audit teams, dedicating some of your time to consider how audit can use data analytics, agile techniques and other innovations, such as process mining and full population testing, to more efficiently and effectively deliver its objectives

  • Familiar with general banking key risks, processes and controls front-to-back, with a specific focus on Markets & Securities Services
  • Experienced technically in:
    • Cash and derivatives markets products, including risks and expected controls, in Foreign Exchange, Commodities, Credit, Rates and Equities (including Prime Brokerage & Futures) and Markets Treasury.
    • Investment banking activities, capital markets and credit and lending processes and associated risks.
    • Common industry activities such as Communication and Trade Surveillance, benchmark rate submission, debt auctions and market sounding, book building and key aspects of conduct risks
    • Custody, Fund Administration, Transfer Agency, and Trustee & Fiduciary Services.

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