Capital Markets & wholesale Banking Audit – London

£70-80K + Bonus + Bens

Friendly smaller team environment with a GREAT WORK / LIFE BALANCE and an opportunity to increase your knowledge of Capital Markets & Banking.

You will be a Senior member of a small Audit team reviewing strategic controls for high-risk operations of this Global Financial Services firm and offer recommendations to mitigate key risks. You will gain exposure to senior-level management including board members.

The successful candidate will be:

1. Big 4 Risk Assurance or External Auditor with Capital Markets and Banking client exposure at Manager level

and/or

2. Senior Internal Audit professional seeking their second move within Banking.

Given the size of the firm the ability to audit end to end business processes across a wide range of areas  including: front office trading (principally Rates, FX and equities, research, trade finance), Compliance / Fraud, Risk and Operations

Unfortunately, the bank are UNABLE ABLE TO SPONSOR people outside of the EU.

Apply to Paul Stanbridge with your CV to be considered for the role.

We expect to receive a very high number of applications and may not be able to reply to everyone.

SVP Global Markets Audit (Conduct)

Director – Smaller Financial Services Practice, Internal Audit (attractive work life balance)

UK / EEA VISA required

London based role with small team of a global practice firm seeking an experienced Ex Head of Audit or Practice Director to lead / coach a team of auditors and help build the business.  The role oversees a portfolio of client work delivering fully outsourced / co-sourced internal audit and assurance assignments.

Responsibilities:

As an outsourced Head of Internal Audit, you will be responsible for the full lifecycle of planning, execution, reporting and committee meetings, lead client work, finalise scope with clients, overseeing team member delivery, and execute quality assurance reviews of internal audit files and reports.

As a Director you will be responsible for onboarding new clients, assessing fees and budgets, managing contracts, Billing, invoicing and recovery management. You will also assist in business development initiatives and create tender proposals leading presentations and target client visits. A small team of Associates, Managers and contract staff are in place who you will be responsible for direct line management, resource planning, recruitment and time management.

Knowledge:

• Internal Audit
• Compliance and Risk Management Frameworks (FCA)
• Conduct Risk Management
• Regulatory reporting (COREP / FINREP)
• Client Money and Assets (CASS)
• CRD IV

Ideally you will have a wide exposure to difference FS industries:

• Retail Banking
• Corporate Banking
• Investment Management and Wealth Management
• Securities, exchanges and trading services

Some travel across the south east UK and possibly overseas travel is required,

Apply to Paul Stanbridge for more information or an informal conversation.

For ambitious individuals with c.1-4 years post qualification experience of audit / risk controls of financial services businesses across either Global Markets, Banking, or Asset Management. We have multiple opportunities across Global Tier One Banks and SME Investment clients.

If you have:

1. Recent Internal Audit experience, Big 4 or Risk Assurance/ External Audit experience.
2. An ACCA / ACA or equivalent Diploma.

AND experience of opperations in one of the following business streams:

• Global Markets: Sales and Trading; FX, Fixed Income, Rates, Traded Credit, Equities, Derivatives, Commodities, Broking
• Corporate Banking: Trade Finance, Corporate Finance, Loans, M&A, Origination, Treasury Solutions, Custody & Settlements
• Risk or Quant: Market Risk, Ops Risk, Credit Risk, Modelling or Quant
• Asset Management; Institutional or Private client Investment Management, Fund Management, Hedge Fund, Asset Services

Apply to us with a copy of your CV.

If you would like to know more about these opportunities or for an informal discussion about their suitability to your career goals, please contact Paul Stanbridge.

You must have a relevant VISA to work in the UK.

We are receiving a lot of interest in these roles and may not be able to reply to all applicants.

VP Audit Commodities

Our client, a tier one investment bank is seeking an Internal Auditor with sound working knowledge of commodities trading risk and controls to join their dedicated internal audit team. The Internal Audit function consists of teams who provide independent assurance over the organisation and operations for all stakeholders across varied business lines, ultimately providing assurance to the Board and Group Executive Management.

The successful candidate will have a background in Internal Audit in a banking environment with practical experience of commodities (or potentially Capital Markets products and an interest to learn commodities). You will have excellent communication skills to manage relationships with clients / senior management and good leadership skills to manage Associates and junior members in the team.

This is an excellent opportunity for an Audit VP  / Audit Manager looking for a move with some management responsibilities.

Essential

• An accountancy or audit qualification
• Experience of managing and leading audits within a Banking environment
• Excellent interpersonal and managerial skills
• Commodities knowledge

Unfortunately our client are unable to sponsor candidates therefore you must have a relevant UK VISA or UK / EU citizenship to apply.

EMEA lead Audit role in London for a Global Wholesale Banking Audit professional. This is a great position for someone who’s been a VP Auditor for a while with a large global Bank and now interested in gaining more senior exposure with a broader remit. There will be some committee work from time to time and the need to deputise for the Global Head of Compliance Audit (also based in London) alongside day to day Audit testing and fieldwork.

You will either have:

1. Managed core Compliance / Financial Crime Audits or
2. A variety of wholesale banking audit experience with a strong interest in moving into Compliance / Fin Crime Audit.

Apply to me at paulstanbridge at fleet-search.com for more information.

VP Wholesale Banking Operations Audit SME

Our client, an internationally renowned investment bank, is looking for an ambitious senior Internal Audit professional to lead the reviews of their wholesale banking operations.

Working within a highly experienced Audit team made up of individuals from other major banking groups you will lead a team conducting reviews across the back office functions. In addition, as the bank are looking for an SME in trading operations you should have an understanding of Client Assets (CASS), KYC or Transaction Reporting as well as traded products gained ideally within a major financial institution, custodian or banking group.

This is an opportunity to work with a technically deep audit team within a major global trading organisation who have an excellent staff retention rate as well as long term career options. We have worked extensively with this organisation for many years so please feel free to contact us for more information.

If you are a qualified accountant with 3-6 years experience in Banking and Capital Markets Audit / Assurance from a Big 4, this is a rare opportunity to join a global bank in an engaging role Auditing risk and controls for all Banking operations including Rates, Equities and FX products. You will grow your current product and markets expertise in a professional environment and use your hands-on stakeholder management skills.

To succeed you must have stakeholder experience, be personable and enjoy the challenges of investigative controls work. You will also have an interest in developing your a career in Banking.

For more information contact Paul Stanbridge.

Senior level role managing a team for Benchmarking Audit with a global wholesale bank.

Applicants will come from a Global Markets Audit background and have experience of IOSCO Principles for Financial Benchmarks and / or European Benchmark Regulation BMR.

Apply to Paul Stanbridge for further details

Are you a Risk Assurance or Audit professional with wholesale capital markets Banking experience?

If you are seeking a Banking role where you can apply your knowledge of capital markets products in a function where you will gain professional development and senior level exposure, apply with your CV and a covering note to Paul Stanbridge.

You will be rewarded with a Banking Salary & Bonus, industry leading career mentor scheme and excellent future career opportunities within the group.

Applicants must have ILR or a EU / UK visa.