Smaller Capital Markets firm based in London have a rare opportunity for an Audit VP to join the team.

This global financial services firm offering prime services and a broad range of client products: Vanilla and exotic Capital Markets, Asset Management, Prop trading, Algo trading, ECM, DCM, Corporate Banking, seek a well presented professional with good critical thinking skills and experience in technical Capital Markets Audit.

Qualified Accountant or equivalent preferred (front office / sales experience with controls audit or risk also considered).

You must have a stable career history and be interested in a long term career opportunity within an interesting and supportive firm.

UK passport holder only.

Are you a models or quant professional who is looking to leverage your skills and knowledge in a different discipline with varied exposure? Or perhaps you are looking for a new challenge in a top tier investment bank with long term career growth opportunity?

If you are well versed in Quant / Models practices and have a concept of retail or investment banking products, this role offers a different opportunity than a standard senior level models or quant role.

If you enjoy conducting deep dive assessment and seek to enhance your enterprise wide work with key executive stakeholder interaction, this role will add real personal value whilst also enabling you to develop your technical skills with market leading models across a wide variety of banking business lines.

Due to the size and stature of the organisation, there are plenty of opportunities for internal mobility, upward progression and continuous learning and development, you will also be supported by your peers and senior management who have a wealth of knowledge and expertise within the quant discipline, from a wide variety of backgrounds

Responsibilities:

• Contributing to enterprise-wide coverage and play a key part in the team’s development of process improvement
• Conducting assessments from planning through to completion, acting as subject matter expert
• Responsible for delivering reviews of global markets’ portfolios focusing on the use of quant finance and models
• Providing support and guidance to more junior team members
• Stakeholder relationship; engaging professional in modelling and quant finance in frequent dialogue regarding their work

Key Requirements:

• Degree (minimum BSc/ BA level) with good academic record
• Demonstrate a capability to diversify and have an appreciation for process risk and controls
• Knowledge of investment banking and associated products
• Ability to prioritise tasks and manage time effectively
• Strong interpersonal skills, able to manage relationships both within the core team, other business areas and stakeholders at all levels of seniority
• Strong communication skills (written and verbal), especially report writing
• Capable of undertaking new challenges and tasks even in unfamiliar territories and able to learn quickly
• Eager for continuous learning and development.

IF YOU ARE LOOKING TO:

• USE YOUR SUBJECT MATTER EXPERTISE;
• GAIN CROSS ASSET CLASS EXPERIENCE
• ADD VALUE TO YOUR CAREER FOR FUTURE LEADERSHIP ROLES

To apply CONTACT Howell Evans [email protected]

For further details or to refer individuals in your network please get in touch for a confidential discussion.

Tier 1 Banks Advisory Firm, London.
Salary – Up to £40k

If you are a junior Data Analyst with a hunger for knowledge and skills from a vast variety of Tier 1 banks and also have an interest in Data Governance and Data Management, this is most likely the opportunity to grant all your wishes.

If this sounds like you and would like to hear more, and possess:

Essential
Minimum 2 years’ experience.
An Undergraduate degree or equivalent with a minimum 2.1 class.
Coding skills in VBA, SQL.
Robust and demonstrable understanding of IT general controls and experience performing such audits.
Technical awareness and auditing experience of common operating systems, financial applications, and underlying databases.
Evidence of experience in IT auditing and risk management.
Evidence of experience of preparing and delivering presentations.

Desirable
First time passes at each stage of professional exams.
Professional Accounting qualification (ACA, ACCA)
Relevant IT audit qualification (CISA,QiCA,CISM etc).
Awareness and experience in applying recognised IT audit/governance frameworks such as Cobit, ITIL,Prince 2.
Tableau, Matlab, Qlikview, Power Bi skills.
Experience delivering Computer Assisted Audit Techniques (IDEA or ACL) to support external audit and internal audit work.

Kindly send an updated CV and contact details to [email protected]

Our client, a leading Cards Business, is looking to recruit an Retail Banking Internal Auditor (Credit Cards) for a Supervisory role in their Chester office.

Their ideal candidate will be from a Big 4, or similar Practice background, and will either hold, or be working towards a relevant professional accountancy qualification. A minimum of 2 years relevant experience in the retail banking audit space is required. This can either be pre or post qualification, and experience of credit card audit would clearly be ideal. This is a great opportunity for candidates fresh from practice to gain banking audit experience.

Requirements:

• Qualified or part qualified with ACA, ACCA or similar
• Relevant experience from Practice or another bank
• Enthusiasm and a good team attitude

Investment Director – Head of Investments – Edinburgh

Our client is a leading UK based private client investment and financial planning firm. As a major industry award winner, they offer an exciting and dynamic working environment, backed up by a solid business dating back over a hundred years with an impressive client base. After a recent period of significant change, they are looking to increase their presence in Scotland, and enlarge the size of the existing Private Client Investment Team. They are consequently seeking an Investment Director to join this expanding team in their Edinburgh Office.

You will originate from an investment background, with experience of dealing directly with High Net Worth individuals, assessing their attitude to risk, whilst working closely with them to address their investment needs. Knowledge and experience of the successful construction and management of tailored investment portfolios from both a discretionary and advisory stance is key, as is direct equity investment experience.

As Head of Investments, you will have the necessary excellent interpersonal and people management skills to enable you to successfully manage the existing team of talented investment managers. The emphasis of this role is on the individual having the key skills, gravitas and ambition to develop and drive the business forward. Ideally, you will bring a significant client base with you but in the absence of this, you will be expected to build an agreed value of assets under management within a five year period.

Remuneration for this post Investment Director role will compare well with market competitors, and will be based on the individual candidate. There is potential for an equity share scheme being awarded in the case of exceptional individuals.

Role Description:

The successful candidates will be part of the Asset Management and Life Assurance Audit team with responsiblities for the management of a (closed book) Life Insurer. This role will give a high level of autonomy and will involve audit execution, day to day management of the audit work, liaison with key client staff and the management of the reporting process. You will report to an Audit Director.

You will also have the opportunity to advise on supporting significant Solvency II projects and helping to develop more junior staff. You will also have the opportunity to audit other areas of the group including Asset Management, Treasury and Reinsurance.
Responsibilities include:

• Managing the Life Assurance Audits and assisting with other financial services audits
• Development and coaching of junior members of staff
• Completion of audits within agreed time-scales
• Budgeting
• Travel to UK offices in Birmingham, Hertfordshire, Milton Keynes and London for 20-30% of your time.

Experience/Qualifications:

• Recently qualified ACAs or ACCA’s from an Audit or Transaction Advisory Services Group. Preference will be given to those with Client Secondment / Audit / Advisory or Internal Audit experience.
• A minimum of 2 years PQE in a financial services (retail or wholesale) environment is essential – ie Life Assurance, General Insurance, Asset Management or Banking.
• Impressive analytical capabilities
• Highly motivated and committed
• Positive and ambitious attitude
• Up to date on current economic and market trends
• Ability to develop strong client relationships
• Highly proficient in written and oral communication
• Able to work independently as well as part of a team

This international investment bank seeks an IT Auditor with solid experience of reviewing front office multi-feed trading systems within a capital markets business for a senior role within the department. You should have strong experience of reviewing trading systems as well as a good understanding of the business process within a global markets environment and knowledge of traded products.

If you are looking for the opportunity for career advancement as well as exposure to a broad diversity of capital markets businesses please do not hesitate to call to arrange a meeting.

Working within an independent function that reports directly to the CEO, this role involves anticipating, identifying and managing risks across the business. This role would suit someone with a background in technology audit and comprehensive knowledge of the infrastructure of large investment institutions in financial services.

Responsibilities:

• Extensive experience in technology audit across different functions
• Using practice to assist in working towards strategic audit objectives/goals in those areas of accountability.
• Building and maintaining good working relationships with colleagues and customers to facilitate the audit function.
• Routinely using critical analysis to inform audit practice and advise customers.
• A thorough knowledge of current theory, practice and advances.

Requirements:

• Degree level or equivalent experience with professional accreditation.
• Works collaboratively with excellent communication skills.
• Using critical analysis to inform practice while retaining a view of the overall aims of the business.
• An ability to distil information and make concise decisions when faced with competing priorities.
• Experience in capital markets, related technologies and associated risks gained in a similar organisation.

This post is based in the Global Banking and Markets (GBM) division, for a major Tier 1 Institution, which delivers award winning finance, risk management and investment solutions to corporations, financial institutions and governments worldwide. You will be working as a Manager in a pooled team of auditors, providing the assurances and controls which the business needs to deliver a Portfolio of Award winning products to the market.

The audit team delivers product-based front-to-back audits, mirroring the Markets, Coverage and Origination and Global Portfolio businesses as well as functional audits of key support areas such as Finance, Risk and Operations. As part of a team of over 100 based across Europe, the UK and Asia, you will have the opportunity for some travel, as well as the potential for career development both within the Group Internal Audit function, and the wider business. Within GBM, opportunities are available for candidates with audit experience and/or relevant knowledge of Markets, Banking or Risk Operations, and Finance within an Investment Bank.

Responsibilities:

• Lead and participate in audits within an assigned business unit, in line with Group Internal Audit standards and procedures
• Deliver individual audits as the team leader
• Foster proactive and professional relationships with the business, providing robust and challenging insight on business risk and control processes
• Lead and manage audit teams from a pooled team of auditors
• Initiate and carry out fieldwork as required

Candidate Requirements

• Audit experience or relevant knowledge of Markets, Banking or Risk, Operations and Finance within a complex Financial Services business
• Experience of managing relationships in a business
• Related business specific product and technical knowledge
• High level knowledge of banking and financial services business processes
• Finance, banking, accounting, audit or risk management qualification
• Experience of leading team projects desirable

(more…)