Assistant Vice President - Auditor - Global Market (8-10 yrs)

Position - Assistant Vice President, Global Markets Auditor

Reporting to - Vice President

Location - Mumbai

Looking for candidates only from Mumbai.

Qualifications - Bachelor's degree + CPA / CA / CIA / CISA / CFA

Experience - Minimum Experience of 10 + Years in the Internal Audit of Asia - Global Markets Audit

Responsibilities :

- Undertake the role of Auditor-In-Charge with respect to the execution of the annual audit plan and the annual risk assessment process.

- Assign and review the work of audit team members for assigned engagements in coordination with Audit Manager.

- Planning and conducting Global Markets audits to evaluate the effectiveness of Global Markets related controls across APAC region.

- To execute an audit engagement as planned by Internal Audit Office for Asia (AIAO).

- To submit audit reports including audit working papers and recommendations on such audits and include sufficient factual evidence.

- Comply with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations.

- Validating and tracking audit issue remediation to ensure control issues are effectively resolved.

- Keep abreast of business developments, business changes and new regulations and assess their impact on the control environment and the audit plan.

- Build relationships with peers and stakeholders within the organization and effectively manage stakeholder relationships to a mutually accountable, productive, respectful, and trusted level.

- Participate in data analytics audit work to identify patterns and derive insights on the underlying risk of the auditable entities to drive audit plans and facilitate audit testing.

- Coordinate any reporting and ad-hoc activities within the GMA team when required.

Required Skills & Experience :

- Candidate will be leading and participating in front to back Global Markets Activities (Sales, Trading and Treasury) Audits

- Candidate should have good experience in Risk Based Approach to internal Audit.

- Candidate should be well versed on global market business (FX, Treasury, Middle office etc); experience in conducting Global Markets audit or work experience in Global Market related functions is preferred.

- 8 or more years of Internal Audit experience gained as In-House Internal Auditor with Investment Banks / Securities Firms / Financial Services Industry. Candidates from Big 4 Accounting Firms with relevant experience will be considered.

- Experience in conducting internal audits assignments on Global Markets (Equity, Fixed Income, FX and Structured Products) is preferred.

- Good understanding of "Risk-Based" internal audit methodology (audit execution and risk assessment) and industry practices.

- Good analytical and problem-solving skills

- Good verbal and written communication skills

- Pro-active, confident, and strong sense of accountability

- Excellent Microsoft Office skills

- Regional travel may be required.