Internal Auditor Compliance and AML job

Our client, a Tier 1 Institution, is seeking an experienced senior internal auditor (compliance and AML) to join a small internal audit team with responsibility for compliance across the organisation. Using expert understanding of the regulatory frameworks and developments impacting on financial services and drawing on prior experience in a similar environment, the successful candidate will play a key role in all aspects of the internal audit process.

Essential Skills:

• Prior experience in a similar compliance role within a tier 1 bank or financial services organisation.
• Undergraduate degree or equivalent experience
• Professional qualification
• Excellent communication skills
• Proven track record developing and maintaining strong working relationships with team members, senior managers and stakeholders.

Our client, a large global consultancy with a number of high profile banking clients, is seeking an experienced professional from a Risk / Audit division of a UK Investment Bank to join their Capital Markets Audit team.

This is an excellent professional role where you will employ your understanding of front, middle and back office control issues across a variety of clients and risk issues.

Essential:

• 2-10 years financial services experience (Capital Markets, Sales and Trading sectors are essential) within an Audit, Risk, Compliance or Controls role.
• Good degree and strong academic record.
• Part qualified or fully qualified accountant, CFA or relevant postgraduate qualification.

Our client, a tier 1 Bank is seeking an IT Applications Audit Associate VP to join their Internal Audit team. With a financial services background gained in a large bank or investment firm, the ideal candidate will use their prior experience in IT applications audit to maintain the organisation’s rigorous internal audit standard. The successful candidate will use excellent communication skills to develop and maintain positive working relationships with stakeholders and senior management in addition to facilitating a culture of shared knowledge and experience among team members.

Reporting to the Local Head of Risk Management Audit and the Global Head of Quant Analytics, this Model Validation Audit role is a key position in both the Risk Audit and Quantitative Analytics Group supporting Model Validation.

You must have strong quantitative skills and market risk knowledge as a practitioner with experience in major asset classes. In particular the successful individual will conduct reviews of risk management and capital models.

You will have experience in VaR methodology, including the Regulatory stressed VaR, Incremental Risk Charge and the comprehensive risk measure., in addition to in depth understanding of the derivative pricing models. There is an expectation for the successful candidate to develop some knowledge of credit and operational risk models.

You will have regular communication with the Global Senior Risk Managers to discuss market trends, model enhancements as well as lend independent advice to various committees dealing with model validation and enhancements.

Skills for Model Validation Audit:

• Masters or Ph.D. in Finance, Economics, Mathematics, Mathematical Finance, Physics, Engineering, or a related quantitative field.
• Minimum 8 years’ experience in model development, model review or model validation audit with a financial institution within interest rates, FX pricing models, equities, credit, SPG and commodities, with good understanding of model risk control and measurement.
• In-depth knowledge of mathematical finance, derivatives pricing, and numerical techniques for derivatives valuation (Monte Carlo simulation, partial differential equations, numerical analysis, probability theory, etc.)
• Build credible relationships with senior management in the Risk function.
• Ability to programme pricing models for derivatives is preferable (MATLAB, C++)
• Being able to clearly document findings in work papers to ensure they meet internal standards.

Our client, a leading global bank is seeking a qualified Auditor to join their Internal Audit team.  With experience gained in a similar financial services organisation or a global bank, you will have working knowledge of operations supporting a global bank.

Essential:

• Degree educated
• Professional Audit or Accountancy qualification
• Experience in assisting in the planning and executing audits in financial services or a large bank
• Good understanding of the Risk, Regulatory Finance and HR considerations for a large bank or financial services organisation.
• Excellent communication and interpersonal skills

This is an exciting opportunity for a qualified Internal Auditor with working knowledge of Capital Markets / Trading within the UK market looking for a new challenge within a global financial services company with good career progression opportunities.  .

The role will work across all business areas in trading with exposure to all asset classes.

Essential requirements:
* ACA/ ACCA/ CIA or any other relevant Audit/ Accounting qualification
* Internal Audit experience from practice or a bank in the UK
* OR External audit experience with firm grasp of risk and control
* Sound knowledge of Capital Markets/ Trading products
* Understanding of risk and control on business process
* Strong analytical and technical knowledge
* Excellent communication and interpersonal skills – able to build stakeholder relationship

This is an excellent opportunity for an experienced manager to take a Regional Head role with a top tier Global Bank.

Reporting to the Global Head of Equity Audit, the EMEA Head will manage all Front Office and Operational Equities audits with direct responsibility for a team of 7 auditors.

• Identifying, performing and assessing risks for equity products and operations.

• Setting budgets and allocating staff work.

• Reviewing audit and control test findings.

• Developing the audit team, setting objectives, and monitoring the teams performance.

Required experience

• Strong knowledge of trade flow and complex capital market products (derivatives,  options etc),

• Excellent communication and relationship building skills.

• Previous team management and development experience.

A great opportunity has arisen for an Internal Auditor to join a major service provision company to the UK retail banking industry in their central London office. A generous salary, and an excellent work life balance is offered, with the possibility to explore different flexible working styles on a discretionary basis.

The Internal Audit team provides independent assurance services to a number of organisations and payment schemes, and reports into the various Boards and Audit Committees which subscribe to this service.

Requirements

• Experience of internal audit within financial services (retail banking, custodian or service companies preferred).
• A sound understanding of the Internal Audit process
• The capability to draw up, plan and execute audits for review by Senior Audit Manager, and effectively carry out audits as agreed
• Engage with stakeholders to develop and improve audit processes
• Relevant professional degree

Our client is a Tier 1 Global Investment Bank.  They are seeking to appoint two senior posts, both covering Wealth Management and Corporate Retail, in their Group Internal Audit department for South East Asia.

Senior Auditor

Main Duties

• Leading the Singapore Wealth Management Audit Team
• Providing training and coaching as necessary
• Assisting Regional Head of Audit with regulatory and other relevant matters as necessary
• Assessing risks regarding credit, market, legal, compliance and operational matters
• Preparing reports of audits for senior management

Requirements

• Minimum of 10 years in a relevant audit field
• Have a good understanding of operational aspects of the financial markets
• Good knowledge of Regulatory Requirements
• Minimum of 3 years experience of leading a team.
• Willing to travel to other locations in the Asia Pacific region
• Proficient in verbal and written English, Mandarin an asset

Audit Manager

Main Duties

• Analyzing and assessing risks within credit, market, legal, compliance and operational
• Providing solutions to any risks identified
• Preparing audit reports for senior management
• Monitoring results and providing input for senior

Requirements

• Degree educated in a relevant discipline
• Minimum of 5 years in a relevant audit field
• Have a good understanding of operational aspects of the financial markets
• Good knowledge of Regulatory Requirements
• Willing to travel to other locations in the Asia Pacific region
• Proficient in verbal and written English, Mandarin an asset

Our client, a leading global bank is seeking an Internal Auditor to join their dedicated audit team.  As part of the team responsible for auditing commodities, the successful candidate will have a background in a similar banking or financial services environment within a Capital Markets function.  Using excellent communication skills to manage relationships with clients and senior management, you will have expert knowledge of the risks and controls governing the front office preference will be given to those with hard or soft commodity experience.

Essential

• An accountancy or audit qualification
• Prior Operational Controls or Audit experience in a financial services organisation or bank
• Capital Markets front office knowledge (ideally commodities)