AUDIT MANAGER - GLOBAL MARKETS EQUITIES - TTEC : Job Details

Benefits: 401(k) 401(k) matching Job Title :: Audit Manager - Global Markets Equities Job Location :: New York, NY (Hybrid) Job Type :: Fulltime/Direct Hire Job Description :: This job is responsible for overseeing assigned areas of audit work acting as an Auditor-in-Charge (AIC), and executing on the audit strategy for Lines of Business (LOBs), primarily of Global Markets Equities, Futures and Options, and Research. Products include cash equities (high touch and low touch electronic trading), derivatives, prime brokerage, stock loan and other structured equity financing products. Familiarity with US equity market regulations, exchanges/execution venues, clearing and settlement processes is preferred. Key responsibilities include driving risk-based auditing by defining scope and test procedures to evaluate the control environment in conformance with audit policies, assessing issues for business impact and recommending severity ratings, drafting audit reports, and managing business partner relationships. Job expectations include fostering an inclusive work environment, and mentoring team members. Responsibilities: Executes audit strategy for the sound application of risk-based auditing by defining audit scope and audit programs, and drafting audit reports leveraging automation and innovative methods in a timely and high quality manner Acts as Auditor-in-Charge (AIC) by overseeing audit testing and ensuring it is executed in a timely manner and conforms with quality standards, audit policies, and procedures Assesses impacts to business processes, controls, and strategies to provide recommendations on severity ratings and escalate broad themes or trends accordingly based on existing business knowledge Exercises intellectual curiosity and judgment to effectively influence and challenge management to improve the control environment and drive continuous improvements on audit Oversees a team of associates and provides day-to-day mentoring and guidance and fosters an inclusive work environment Maintains business partner relationships, primarily with line management, to develop business knowledge Exercises sound knowledge of product, business, and technical expertise to effectively challenge management to improve the control environment Specifically, knowledge of trading and hedging strategies, supervisory procedures, P&L attribution, risk management, operational processes and regulatory landscape strongly preferred. Experience in validation of audit and regulatory issues. Support in preparation of regulatory exams by creating presentation materials and providing timely responses to inquiries. Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery. Effective influence skills in communicating findings. This individual must be an articulate and effective communicator, both verbally and in writing. Required Qualifications: Minimum 6 years of audit experience in areas related to capital markets, equity and equity linked products, derivatives, front office risk management, laws and regulations, banking regulations, local standards, and internal policies Minimum 2 years of experience leading audits and performing in the role of auditor-in-charge Desired Qualifications: Bachelors or Master's Degree in Business, Economics, Finance, or other quantitative field or Master of Business Administration. Chartered Financial Analyst (CFA), Financial Risk Manager (FRM), Certified Internal Auditor (CIA) or relevant securities licenses preferred. Intermediate Analytical / Automation Skills (SQL, Alteryx, Advanced Excel and Access) Experience of working in large, global financial institution, preferably a bank or large brokerage house. Skills: Analytical Thinking Audit Planning Internal Audit Review Issue Management Risk Management Business Acumen Coaching Project Management Relationship Building Written Communications Attention to Detail Automation Critical Thinking Technical Documentation Compensation: $140,000.00 - $170,000.00 per year About Us We're more than Software Company with a creative side. We're a full-service creative studio with a serious technology background. We take a holistic view of sales and marketing, building digital brands that deliver real value to our client. As a marketing agency, our innovative digital strategies grab and hold people's attention, and produce the communication and organizing tools needed for success. With a mix optimized to the specific goals of each client and the character of their target customer demographics, we provide true integration across media platforms and channels. Our Vision Inteletech Global, Inc provides consulting services to assist clients with their ongoing demand for changing IT environments. The early 2000s were an exciting time for IT. Digital technology was transforming our lives, and with each innovation, it became clear that digital was the future. We use our Global Delivery Model for the success of every engagement. Improve effectiveness and efficiency of IT application environments by adopting re-usable software platforms. Our onsite teams work directly with our clients to understand and analyze the current-state of problems and design specifically tailored conceptual solutions.