At a Glance
- Tasks: Manage regulatory and compliance audits, validate data accuracy, and draft audit reports.
- Company: Cantor Fitzgerald is a global investment bank providing diverse financial services and technology solutions.
- Benefits: Work with a leading global marketplace and gain exposure to various financial sectors.
- Other info: Position involves liaising with senior management and stakeholders across EMEA & APAC.
- Why this job: Join a dynamic team at Cantor Fitzgerald, influencing risk management across investment banking.
- Qualifications: Requires 7+ years in internal audit, strong analytical skills, and experience in investment banking.
The predicted salary is between 70000 - 90000 £ per year.
The Senior Audit Manager for Markets and Investment Banking Auditor will work closely with senior audit leadership to assess, monitor, and evaluate the internal controls and risk management framework across Cantor Fitzgerald's markets and banking operations. The person will be mainly responsible for performing and/or managing the business, regulatory, compliance and operation audits in accordance with the Internal Audit (IA) Plan. The role is also expected to assist in the annual risk assessment process and lead/manage department initiatives and special projects.
Responsibilities:
- Perform risk-based audit work, including detailed walkthrough meetings, documentation review, and testing of operating design and effectiveness.
- Validate data and analysis for accuracy in line with the audit strategy.
- Manage the work of project-specific teams and provide supervision and direction.
- Validate issues with auditees and liaise with management in proposing action plans to address the audit findings.
- Draft complete audit reports as final deliverables.
- Ensure that audits are delivered on time and to a high standard.
- Provide timely feedback to the Director and Head of Internal Audit on audit progress and deliverables.
- Utilize relationship management skills to build business relationships with audit clients.
- Manage and execute special projects as required.
- Agree the process and approve sign-off of agreed IA actions.
Key Contacts and Working Relationships:
- Establish and maintain relationships with key stakeholders within the Firm.
- Liaise with Front Office, Compliance, Financial Crime, Risk and Operational Functions to ensure clear understanding of the audit scope, issues and action point(s) required to address the findings.
- Director of IA and Head of IA for EMEA & APAC.
- Global Head of IA (as needed).
Qualifications Skills:
- Minimum of 7 years' experience of performing regulatory and compliance/financial/operational audits.
- Strong analytical and investigation skills.
- Excellent verbal and written communication skills.
- Strong project management skills and with supervisory experience leading small to medium size teams of auditors.
- A mix of Internal Audit, Compliance, Risk Management and/or consulting experience.
- Experience with Investment Banking activities desired.
- Be able to hold meetings with management independently or drive the conversation to obtain audit results.
- Ability to follow directions and receive constructive feedback on work products submitted for review.
- Experience with automated internal audit workpaper solutions (GRC tools).
Education and Experience Requirements:
- Bachelor's degree in Accounting or Finance preferred.
- One or more certifications (e.g., CPA, CIA, CAMS) and/or graduate degree preferred.
- Minimum 7 years' prior experience working Internal Audit within Financial services.
Senior Internal Audit Manager employer: Cantor Fitzgerald Securities
Cantor Fitzgerald offers competitive benefits including exposure to global markets and innovative financial technologies. Located in a vibrant financial hub, the team focuses on maintaining high standards in risk management and compliance. Join a firm known for its commitment to excellence and integrity in financial services.
Contact Details:
Cantor Fitzgerald Securities Recruitment Team
