Lead Auditor - Business Audit (Market Model Audit)

• Client audit engagements, which include planning executing, directing, and completing business / financial audits.

• Good knowledge of business process, operational process related to banking and capital markets.

• Ability to review the processes such as desk reviews, trade booking, middle-office & back-office processes, etc.

• Experience in Banking operations with focus on Corporate & Investment Banking, Trade Services, and Securities Business.

• Experience working in Banking and Capital Markets and good knowledge about various regulations impacting capital markets such DFA, EMIR, etc.

• A strong understanding of principles of risk management with a thorough understanding of internal control systems including IT controls.

• Responsible for client management, research and gather information, resolve problems, and make recommendations for business and process improvements.

• Review the evidence of audit conclusions are ensure they are well-documented.

• Communicate assigned tasks to engagement team in a manner that is clear and concise and ensure the deliverables are of high quality, accurate, and efficient

• Dedicate focus on professional growth and take on more challenging assignments, in line with standard audit career progression

• Updates job knowledge by being aware of new regulations; participating in educational opportunities; reading professional publications; maintaining personal networks; participating in professional organizations

• Participate on annual risk assessment and audit planning

• Quality initiatives within audit function

• Working on Integrated audit

• Monitoring audit recommendations

• Statutory and regulatory norms applicable to banking business 

• Fluent Command over English language

   

• Execute all audits in accordance with professional standards.
• Assists audit management in preparation & execution of the audit plan
• Prepares Audit work program and understands the specific risks to be evaluated.
• Performs evaluation of internal controls, testing of processes
• Performs reviews of major financial and operational processes
• Perform tests on the effectiveness of the Internal control environment within SG.
• Maintains clear work papers and audit trail of the work done in the appropriate tool
• Write formal & clear reports to communicate audit results to management
• Makes appropriate recommendations to improve SG processes
• Timely issuance of the audit reports
• Follow-up recommendations issued timely and escalate when needed
• Acquire knowledge on activities and risks during assignments and via trainings