Audit Associate - Operations

The role is expected to provide core coverage to Middle and Backoffice operations of Cantor Affiliated Companies. In this capacity, auditors would be expected to understand Operations activities of multiple types of Investment Banking and Wholesale Dealing businesses. The auditor will be responsible for executing business, regulatory, compliance, and operational audits in line with the Internal Audit (IA) Plan. The candidate will contribute to the annual risk assessment process, support department initiatives, and participate in special projects.

Responsibilities include:

• Developing and executing audit test plans.
• Documenting findings.
• Working with key stakeholders to address identified issues.
• Performing risk-based audit work, including walkthrough meetings, process reviews, and control testing.
• Executing detailed testing to assess the operating effectiveness of key controls and validate audit findings.
• Documenting audit work thoroughly, ensuring accuracy and completeness of audit files.
• Assisting in drafting audit reports that summarise risks, findings, and recommendations in a clear and concise manner.
• Working closely with management to confirm observations and agree on remediation plans.
• Ensuring timely execution of assigned audits while maintaining high-quality work standards.
• Supporting senior auditors and management by providing insights and recommendations on improving business processes.
• Participating in special projects and initiatives as needed.

Key Contacts and Working Relationships: The role requires strong analytical skills, attention to detail, and the ability to communicate audit observations effectively. The Manager is expected to participate in audits involving Cantor Fitzgerald Group of Companies, and as part of the global Internal Audit team covering the Group, the individual might be exposed to engagements involving any of the following businesses.