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Internal Audit

Internal Audit (IA) supports the Board of Directors’ Audit Committee and senior firm leadership in fulfilling their oversight roles by independently assessing the firm’s internal control structure, raising awareness of control risk, providing advice to management in developing control solutions, and monitoring the implementation of management’s control measures.

Global Markets Audit

Global Markets Audit covers the firm’s Global Markets Division and related supporting control functions such as Operations, Technology, Product Control and Compliance. The Global Markets Operations Audit team in Salt Lake City covers control functions within the firm’s Global Markets Division and Operations Division.

RESPONSIBILITIES AND QUALIFICATIONS

Responsibilities

• Develop and maintain an in-depth understanding of trade support and core operational functions and the business areas, products, and activities supported

• Assist in every step of an audit, including documentation, across scoping, planning, fieldwork and reporting

• Performing walkthroughs with stakeholders to perform control design assessments and presenting results of work performed to management

• Execute audit testing to ensure audit fieldwork is focused on the right areas and documentation meets high quality standards

• Identify risks, assess mitigating controls, and make recommendations on improving the control environment

• Prepare commercially effective audit conclusions and findings, and present to Internal Audit senior management and business stakeholders

• Follow-up on open audit issues and their resolution

• Participate in department-wide initiatives aimed at continually improving Internal Audit's processes and supporting infrastructure

• Ongoing liaison with colleagues globally and internal and external stakeholders including regulators and external audit.

• Maintenance of internal client relationships and regular interaction with the business during the year to assess changes in the control environment and other matters arising in the business

Basic Qualifications

• 4-year degree in a finance, accounting, or quantitative discipline

• Relevant certification or industry accreditation (e.g., CAMS, CIA) is a plus

• Minimum of 5 years of experience

• Team-oriented with a strong sense of ownership and accountability

• Strong leadership, interpersonal, and relationship management skills

• Strong verbal and written communication skills

• Able to work under minimal supervision on individual tasks or on team projects

• Highly motivated with solid analytical skills, willing and able to learn new business and system processes quickly

• Highly motivated with the ability to multi-task and remain organized in a fast-paced environment

Preferred Qualifications

The following experiences are a plus, but should not preclude a candidate from considering the role if little or no experience with the following:

• Using data analytics in audits

• Executing integrated business and technology audits

• Auditing operations functions within an investment bank or other financial services company

• Product Specific Skills and Experience: Solid knowledge of Global Markets and related operational support functions, including:

• Sales and trading of cash, derivative and structured products across FICC (Interest rate products, credit products, Mortgages, Currencies and Commodities) and Equities (listed and OTC trading shares, options, and futures)

• Prime brokerage, securities lending, and execution services

• Trade processing, clearing and settlement

• Compliance with trading rules and regulations

Location(s)US-UT-Salt Lake City

Job ID2020-68423

Schedule TypeFull Time

LevelVice President

Function(s)Audit

RegionAmericas

DivisionInternal Audit

Business UnitIA Global Markets

Employment TypeEmployee