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 in a dynamic environment at Canary Wharf with exposure to various financial sectors.
- Other info: Position based in London, with potential exposure to global audit engagements.
- Why this job: Join a leading investment bank and contribute to enhancing internal controls and risk management.
- 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 include:
- Writing and/or reviewing detailed audit programs to test the processes and internal controls, document findings and liaise with the auditees, senior management and other stakeholders to confirm the accuracy of observations and agree upon action plans.
- Writing and/or reviewing clear, concise and persuasive audit reports and other documents summarising level of risk, scope, findings, recommendations, and the current status of the issues.
- Performing risk-based audit work, including detailed walkthrough meetings, documentation review, and testing of operating design and effectiveness.
- Validating data and analysis for accuracy in line with the audit strategy.
- Managing the work of project-specific teams and providing supervision and direction.
- Drafting complete audit reports as final deliverables.
- Ensuring that audits are delivered on time and to a high standard.
- Providing timely feedback to the Director and Head of Internal Audit on audit progress and deliverables.
- Utilising relationship management skills to build business relationships with audit clients.
- Managing and executing special projects as required.
- Agreeing the process and approving sign off of agreed IA actions.
Key Contacts and Working Relationships:
- Establishing and maintaining relationships with key stakeholders within the Firm.
- Liaising 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 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.
- Ability 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/ 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
Cantor Fitzgerald, located in Canary Wharf, offers competitive benefits including professional development opportunities. The team focuses on maintaining high standards in internal audit across diverse financial services.
