*** No visa sponsorships supported ***

JOB DESCRIPTION

The Internal Auditor will perform Compliance, Financial, Operational and Information System audits for the purpose of determining the accuracy of financial records, effectiveness of prudent business practices, and compliance with policies, procedures, and regulations.

• Conduct audits of equity, fixed income, and commodity business lines, back-office departments and branch offices to assess compliance with firm policies and regulatory requirements;
• Establish project plan and test steps to achieve audit objectives;
• Develop process knowledge and identify risk areas for assigned audit projects;
• Review and appraise soundness, adequacy and application of manual and automated processes, and recommend corrective action where necessary;
• Participates in preliminary discussions with operating personnel during and at the conclusion of an audit discussing the conditions, criteria, effect, cause and recommendations relating to potential deficiencies noted during an audit;
• Identify/implement automation opportunities to enhance audit effectiveness and efficiencies of the business as a whole;
• Keep abreast with various securities and futures industry regulations;

Qualifications:

• A college degree is essential in Finance, Accounting, or other related subjects.
• 2 years audit experience is desired.
• Excellent written and oral communication skills are important pre-requisites. ·
• Ideal candidate would be inquisitive and quick learner
• Proficiency to perform data gathering and analysis tasks with tools such as Microsoft Excel, Access, etc.