Manager - Internal Audit/Compliance - BFS

The Candidate will be involved in the development, planning and/or performing of Compliance audits across the firm with a focus around EMEA regulations and including:

- Assisting in the preparation of audit planning memoranda.

- Identifying and evaluating key risks and contributing to establishing audit scope.

- Leading walkthrough meetings and discussions with the purpose of developing audit test programs and identifying control issues.

- Executing audits in line with audit test programs and within time budgets and leading certain aspects of audits/reviews.

- Appropriately assessing potential findings for significance.

- Drafting audit reports; writing clear and concise findings

- Communicating audit findings to the Internal Audit lead auditor and client management; assist with negotiating finalization of issues with senior client management.

- Track implementation of recommended processes designed to strengthen internal controls.

- Developing solid working relationship with clients

- Ability to travel when required (minimal).

Educational & Professional Credentials

- Bachelor's Degree in Business, Finance, Accounting

- Certified Internal Auditors from IIA or Chartered Accountant from ICAI

- MBA or Post Graduate degree is preferred.

- Big 4 experience preferred.

- Prior regulatory experience or experience communicating with regulators a plus

Required Knowledge & Skills

- Five to Seven years of audit or compliance experience with a financial services firm is essential with a focus on regulatory compliance.

- Working knowledge of the financial services regulatory environment with an emphasis on Compliance activities and broker/dealer rules and regulations

- Strong communication, interpersonal skills and team skills;

- Ability to work globally and across teams

- Proven ability to manage projects.

- Proficient understanding of the internal audit process;

- Proven ability to collaborate within a team structure;

- Proven ability to learn quickly and think critically;

- Strong written and verbal communication skills;

- Proven ability to work on multiple assignments, while meeting deadlines;

- Able to work independently with multi-tasking