£55-70000 + Bonus + Bens, London, Permanent

Our client a major US investment bank is looking for an exceptional individual to review Equities and Fixed income products at a highly technical level. The successful candidate would be responsible for:

• Active participation with the potential to lead reviews across the Capital Markets businesses including Fixed Income, Equities, FX and Commodities including complex derivatives.
• Support decision making and assist in the development of the existing program
• Conduct analysis of the impact of market fluctuation
• Continual improvement of processes and controls in the department

This new role is focused on the technical aspects of the Bank’s Trading businesses with the ideal candidate possessing 5 – 7 years experience within a major practice firm or Investment Bank and a good understanding of traded products. This is a great opportunity for an individual with good product knowledge the opportunity to acquire a deep understanding of a major trading operation and develop skills in a supportive network. Promotion prospects will be available both within and outside of Audit for the successful candidate.

£60-70,000 + bonus + bens, London, Permanent

Working within the Front Office of the Global Equity and Commodity Derivatives businesses of this highly successful Global Banking Group, this is an excellent opportunity for either:

• An Internal Controls or Audit professional with good product operations knowledge who’s looking for greater exposure in the Front Office or;
• An experienced Ops Risk professional seeking a new challenge.

The primary objective is to ensure that both Operational Risk and Permanent Controls areas fully meet their objectives & requirements through managing the Operational Risk & Permanent Controls Framework and Transaction & Activity Approval Process by:

• Providing the businesses with Ops Risk analysis through a process and risk review (Risk Assessment & Incidents Analysis),
• Leading the risk reduction program (action plans design & follow-up, Audit &; Regulators recommendations follow-up),
• Supporting Operational Risk capital monitoring (through risk quantification) &; fulfilling Basel II requirements,
• Coordinating the Exceptional Transaction & Activity Approval Process

See find out more for further details….

(more…)

up to £45,000 + Bonus and Benefits, London, Permanent

This is an excellent role for an experienced SOX Auditor (IT or business) looking to enhance their capital markets experience OR a new or part qualified account WITH SOX experience looking to increase their knowledge within the capital markets and banking industry.

The role will encompass SOX reviews across the bank’s capital markets (including sales and trading) business. You will also have the opportunity to second to the Audit department and enhance your knowledge of the font office traded products and operations in this successful international banking group.

(more…)

Excellent Package including strong Bonus and Benefits, London, Permanent

Our client, a major US investment bank, seeks a Technology Auditor to focus on reviewing front office trading applications.

You should have at least 4 years IT Audit experience with a good understanding of Applications Development, Systems Architecture, Trading Business processes and Data analysis. Excellent interpersonal skills are a must as the role requires frequent interaction with technology management.

This is an exceptional prospect, for an effective and skilled IT Auditor to develop a solid career within a Tier One institution, providing an opportunity to move into the business after a two year qualifying period.

up to £80,000, London, Permanent

This mid. cap. European Banking group with business operations in London.

Reporting to the managing director, you will manage the legal, regulatory and internal
standards and policies risks and controls for the group.

You will also:

• Compliance – Ensure compliance with the regulatory framework, as well as the integrity
  and ethical conduct of all employees and also that the groups policy and procedures are applied at all
  levels within the organisation.
• Money Laundering Reporting Officer – To ensure the development, implementation and maintenance of systems and controls which reduce the risk of financial crime and money laundering.
• Data Protection – Act as the Bank’s Data Protection Officer, ensuring that the Bank is fully
  registered with the data protection registrar and is compliant with the current legislation

Up to £85,000 + Bonus + Benefits, London, Permanent

This is an excellent opportunity for a Senior Infrastructure IT Audit Manager from any large financial services group (Banking, Insurance, Asset Management and so on) to make a career move to a “Head of” role. This would also suit a current Head of IT Audit with strong infrastructure knowledge looking to move to an expanding business with stable growth.

The successful candidate will lead the implementation of IT Audit principles and structure, lead engagements, and direct the business in IT controls methodology.

This is a high profile position with global coverage and requires 20% travel, mainly within Europe (Paris, Amsterdam, Frankfurt).

Currently, this is a sole managerial Principal IT Audit role, man-management responsibility may be required in the future as the team and function grows.

£80,000 – £110,000 pa + Bonus + Banking Benefits, London, Permanent

Our client, a global investment bank, seeks a Senior Audit Manager to take charge of the Fixed Income Audit team. Reporting directly to the Regional Chief Auditor and Audit Committee you will have full responsibility to manage the team and the audit process.

You will act as the key contact point for the business and take responsibility for the IA planning process and value-added reporting to enhance the control culture within the group. The Head of Audit accordingly manages the day to day relationship between IA and business leaders in the respective FI teams.

You must have experience of managing, leading and developing audit teams as well as very strong knowledge of Fixed Income/Debt products and trade flows. Excellent interpersonal skills and the ability to build strong relationships is a key in this senior role.

This is an outstanding opportunity to gain extensive exposure in a senior ‘head of function’ role.

£50,000 – £65,000 pa + Bonus + Banking Benefits, London, Permanent

Our client, a major US investment bank, seeks two IT Auditors looking to develop their experience of financial markets trading applications.

You should possess circa 3-5 years IT Audit experience gained either in the Financial Services unit of a Big 4 firm or within the IT Audit function of another investment bank. Whilst detailed knowledge of trading applications is an advantage it is NOT ESSENTIAL, however, excellent interpersonal skills and the ability to build strong relationships is a must.

This is an outstanding opportunity to gain extensive exposure to front office trading platforms and would suit individuals who embrace a meritocratic culture in the workplace.

For more detail please contact Helen Mount or Craig Phipps on 0845 500 5105.

£70,000 – £90,000 per annum, London, Permanent

Our Client seeks a VP/Senior Audit Manager for their London office.

This role offers excellent work life balance. You will act as senior team leader for the group and deputise for the Head of Audit. You will also liaise with business management, Finance, Risk Control and Legal & Compliance to identify potential areas of improvement and surveillance to conform to regulations for listed banks. Lead and Manager audits for various businesses within the investment bank which assess compliance to regulations, controls over financial reporting processes, valuation of securities and risk management, including hedging strategies. Conduct data analysis and root cause identification in special investigations coordinated with Legal.

Main Tasks: Perform front-to-back risk assessment of the capital markets activities including sales and trading of cash equities, equity derivatives, equity statistical investment, reference-linked notes, security borrowing and lending and credit event management. Analyse and assess the risk assumed by the business. Identify and evaluate the effectiveness of controls to mitigate risks. Provide practical, innovative and value adding solutions to issues identified. Review business flows, develop audit programs, provide internal control recommendations and audit reports to senior management at the local, global and Board level.

£60,000 – £75,000 per annum, London, Permanent

Our client is seeking a Senior Internal Auditor / Audit Manager with commodities experience. You will be responsible for providing internal audit coverage for the EMEA region of this successful bank. Reporting to an Audit Director, you will plan, execute and deliver the annual audit plan for the commodities desk and have responsibilities for the prop and arbitrage desks.

The Internal Audit Departments function is to assess the internal controls, framework of risk management and corporate governance processes are robust and enhance the business. You will provide assurance and advisory services to improve controls and processes where necessary covering all functions of the business from the front to the back office.

To be considered for this role you will need at least 2 years experience from a similar internal audit or external audit role. You will need to have experience and understand of a range of traded products within a traded environment. You will need to hold a relevant audit qualification such as ACA, ACCA, CIA or CPA.