Audit Supervisor - American Recruiting & Consulting Group
Charlotte, NC 28202
About the Job
Audit Supervisor (Hybrid) - Full-Time
ARC Group is looking for an Audit Supervisor for a client based out in Charlotte, NC for a Full-Time direct hire with experience in Global Market Ops, NFRR, Tax & Credit Reporting Ops
Candidates must currently have PERMANENT US work authorization. Sorry, but we are not considering any candidates from outside companies for this position (no C2C, 3rd party / brokering).
Audit Supervisor, Global Market Ops, NFRR, Tax & Credit Reporting Ops
Onsite | Hybrid
3 days in office 2 days remote
Charlotte, NC, US
Job Description:
Global Markets Operations (GMO) and Non-Financial Regulatory Reporting, Tax & Credit Reporting Operations (NTCO) Audit is a global team that covers operations processes across Global Markets and NTCO. Key functions covered include trade clearing and trade processing, trade confirmations, settlements, trade control, reconciliations, collateral, reference data, product data, fees & billing, corporate actions, client services, client reporting, transaction reporting and other NFRRs, as well as coverage of compliance with associated regulations. This is a great opportunity to work within a collaborative and diverse team, covering GMO and NTCO, with teammates across the Globe. You will use your previous experience in Global Markets Operations to conduct audits across EMEA, with regular engagement in global work of the same nature. This role provides a great potential for exposure to senior management across the company and opportunity to engage in interesting and impactful work.
You will be responsible for leading point in time audit projects (coordinating planning, process understanding, stakeholder engagement, test plans development, test strategy approval, test execution, identification of issues, discussing issues with line of business management, and drafting audit reports). You will be responsible for leading a project team on each audit to execute quality audits in highly complex and regulated GMO/NTCO areas. You will also be involved in risk assessments for GMO/NTCO auditable entities, issue validation, annual planning, developing, and executing of coverage strategies for business units and complex regulations., as well as ad-hoc regulatory-related work. You will also be responsible for maintaining stakeholder relationships with senior management of allocated business units. While the purpose of the role is to lead audit projects, the role may require working as individual contributors on regulatory or other complex or high priority projects.
Responsibilities:
ARC Group is a Forbes-ranked a top 20 recruiting and executive search firm working with clients nationwide to recruit the highest quality technical resources. We have achieved this by understanding both our candidate's and client's needs and goals and serving both with integrity and a shared desire to succeed.
ARC Group is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.
ARC Group is looking for an Audit Supervisor for a client based out in Charlotte, NC for a Full-Time direct hire with experience in Global Market Ops, NFRR, Tax & Credit Reporting Ops
Candidates must currently have PERMANENT US work authorization. Sorry, but we are not considering any candidates from outside companies for this position (no C2C, 3rd party / brokering).
Audit Supervisor, Global Market Ops, NFRR, Tax & Credit Reporting Ops
Onsite | Hybrid
3 days in office 2 days remote
Charlotte, NC, US
Job Description:
Global Markets Operations (GMO) and Non-Financial Regulatory Reporting, Tax & Credit Reporting Operations (NTCO) Audit is a global team that covers operations processes across Global Markets and NTCO. Key functions covered include trade clearing and trade processing, trade confirmations, settlements, trade control, reconciliations, collateral, reference data, product data, fees & billing, corporate actions, client services, client reporting, transaction reporting and other NFRRs, as well as coverage of compliance with associated regulations. This is a great opportunity to work within a collaborative and diverse team, covering GMO and NTCO, with teammates across the Globe. You will use your previous experience in Global Markets Operations to conduct audits across EMEA, with regular engagement in global work of the same nature. This role provides a great potential for exposure to senior management across the company and opportunity to engage in interesting and impactful work.
You will be responsible for leading point in time audit projects (coordinating planning, process understanding, stakeholder engagement, test plans development, test strategy approval, test execution, identification of issues, discussing issues with line of business management, and drafting audit reports). You will be responsible for leading a project team on each audit to execute quality audits in highly complex and regulated GMO/NTCO areas. You will also be involved in risk assessments for GMO/NTCO auditable entities, issue validation, annual planning, developing, and executing of coverage strategies for business units and complex regulations., as well as ad-hoc regulatory-related work. You will also be responsible for maintaining stakeholder relationships with senior management of allocated business units. While the purpose of the role is to lead audit projects, the role may require working as individual contributors on regulatory or other complex or high priority projects.
Responsibilities:
- Responsible for leading execution multiple areas of test work during audit activities.
- Independently supervise execution of audit test work on assigned audits in a timely manner and with high quality.
- Demonstrate excellent project management skills to effectively, efficiently, timely and in line with methodology deliver point in time audit projects.
- Executes audit strategy for the sound application of risk-based auditing by defining audit scope and audit programs, and leverages automation and innovative methods in a timely manner and to high quality.
- Use analytical skills and/or technical expertise to enable the audit project team to execute assigned audit testing responsibilities and identify opportunities to automate testing or create continuous monitoring.
- Identifies control deficiencies, discusses with line management, and initiates control matter recommendations in assigned test areas.
- Assesses impacts of issues to business processes, controls, and strategies to provide recommendations on issue severity ratings. Escalates broad themes or trends, engages in discussions about risk and demonstrates business knowledge.
- Exercises critical thinking and judgment to effectively influence management to improve the control environment.
- Exercises sound knowledge of product, business, and technical expertise to effectively challenge management to improve the control environment.
- Responsible for drafting audit reports and sharing audit results with business leaders.
- Consistently strives to improve processes and challenge the status quo to improve existing operating environment.
- Supports employee development efforts, teamwork and a positive and inclusive work environment.
- Establishes business partner relationships, primarily with line management, to develop business knowledge.
- Uses innovative tools to complete audit activities more efficiently
- 5 years internal audit / external audit / or risk/controls testing background in financial services (ideally large institutional banks) with significant portion of it at as Auditor in Charge (Audit Supervisor, Audit Manager).
- Experience leading (front to back) complex audit projects as an auditor in charge is critical to this role.
- Strong project management skills, proven organizational, coordination and action tracking skills.
- Ability to plan, execute and evaluate audit test plans within a risk-based audit methodology.
- Strong analytical skills. Ability to analyze large amounts of data and turn it into usable information.
- Ability to work in a very detailed manner as well as to look broadly across a population and develop connections and themes identifying risk and concerns.
- Ability to successfully communicate to influence management and lead change in both strategic and tactical initiatives.
- Self-starter, desire to learn able to teach others, positive attitude, exhibits flexibility.
- Certified Internal Audit (CIA) certification
- Prior Analytical / Automation Skills (SQL, SAS, Python. Alteryx, Advanced Excel)
- Advanced degree or certifications (CIA, CISA etc – CPA Preferred)
- Extensive experience in performing and coordinating end-to-end substantive testing. Understanding of statistical sampling testing approach is a plus.
- Analytical Thinking
- Audit Planning
- Internal Audit Review
- Issue Management
- Risk Management
- Attention to Detail
- Automation
- Business Acumen
- Project Management
- Technical Documentation
- Coaching
- Critical Thinking
- Relationship Building
- Written Communications
ARC Group is a Forbes-ranked a top 20 recruiting and executive search firm working with clients nationwide to recruit the highest quality technical resources. We have achieved this by understanding both our candidate's and client's needs and goals and serving both with integrity and a shared desire to succeed.
ARC Group is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.
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Source : American Recruiting & Consulting Group
