Internal Audit - Broker/Dealer - Associate

The main duties of the role are:

• Conduct internal audits of business areas across the Equity environment in EMEA
• Actively take part in the audit planning and fieldwork, document and agree issues with key auditees, and develop reports with issues and action plans for issuance to senior management.
• Follow-up of issues that are raised in reports.
• Participate in the Risk Assessment and Planning process at least annually, using the departmental risk assessment methodology
• Assist with special project, ad hoc investigations, and advisory work at the request of the Regulators, Management, and the Audit Committee.
• Looking for someone with an accounting qualification - 5 years exp - agency broker business, AML, KYC, compliance, sales, CASS, credit risk
• Technology added bonus - EU regulations would be key

Selling points:

• Although an Asian bank by heritage the Chief Audit and Head of Methodologies Audit is based in the UK and therefore all decisions are made in the UK.
• Exposure to all front office audits
• Good work life balance (no weekends and reasonable working hours)
• An opportunity to work for a global investment bank
• No travel

To learn more about this role get in touch asap!