At a Glance
- Tasks: Lead audits and enhance internal controls in a dynamic investment banking environment.
- Company: Join a leading investment bank focused on innovation and excellence.
- Benefits: Competitive salary, professional development, and opportunities for career advancement.
- Other info: Work independently and collaborate with stakeholders in a fast-paced environment.
- Why this job: Make a real impact by improving business processes and systems in finance.
- Qualifications: 7-10 years of internal audit experience in financial services and strong data analytics skills.
The predicted salary is between 60000 - 80000 £ per year.
The primary objective of Internal Audit is to provide an independent, objective assurance to DCME’s Audit and Risk Committee and through them to DCME’s Board of Directors, that the internal control environment of the DCME Group is appropriate and operating satisfactorily. The secondary objective is to provide independent and objective review that helps Management to improve its performance by enhancing business and operational processes and systems. This post holder reports to the EMEA Internal Audit Supervisor.
The principal duties include:
- Deliver / lead assigned audits in the Internal Audit annual audit plan covering the EMEA region.
- Perform audit testing of the design and operational effectiveness of DCME’s internal controls, including policies, procedures and processes relating to the Firm’s risk, compliance and regulations on assigned audits.
- Oversee assigned audit subject matter expert or outsourced review where required.
- Perform risk related business and functional/ thematic Internal Audit reviews.
- Complete all relevant planning and field work for assigned audits (using risk-based audit system and techniques as appropriate).
- Fully own writing and debrief of audit reports.
- Perform issue follow‑up.
- Perform assigned Continuous Business Monitoring and related risk assessments, which includes relationship management with the business and support areas.
- Perform management requested / ad hoc IA projects and review work where required.
Skills and Experience needed:
- Ability to work fully independently in delivering assigned audit reviews from planning through to reporting.
- Very good knowledge and experience of auditing capital markets activities, across asset classes, as well as relevant support and second line functions.
- Experience performing front to back audit reviews and themed audits, and being comfortable with all aspects of such audits.
- Ability to perform audit issue follow up and relationship management with stakeholders.
- Experience with data analytics in internal audit, strong understanding the application of data analytics and visualisation concepts, and leading on expected analytics on markets audits.
- Experience working with Internal Audit Management Software.
Qualifications:
- Seven to ten years Financial Services Internal Audit experience with good coverage of capital markets.
- Experience leading and delivering audits independently, at least five years.
- Experience applying data analytics in audit and leading in formulating data analytics strategies for audits. This will include experience with data analysis and visualisation tools such as Alteryx, Python, PowerBI etc.
- Relevant business/finance qualifications- e.g. Degree or relevant post graduate qualifications and Professional qualifications such as CFA, CA, CIA etc will be an added bonus.
Internal Auditor employer: Daiwa Capital Markets Europe Ltd
At DCME, we pride ourselves on being an exceptional employer, offering a dynamic work culture that fosters independence and innovation. Our commitment to employee growth is evident through continuous training opportunities and the chance to lead impactful audits across the EMEA region. With a focus on collaboration and professional development, we provide a rewarding environment for those looking to make a meaningful contribution in the investment banking sector.
Contact Details:
Daiwa Capital Markets Europe Ltd Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Internal Auditor
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment banking sector and let them know you're on the lookout for Internal Auditor roles. A personal recommendation can go a long way in landing that interview.
✨Tip Number 2
Prepare for those interviews by brushing up on your knowledge of capital markets and internal audit processes. We suggest practising common interview questions and scenarios related to risk management and compliance to show you’re the right fit.
✨Tip Number 3
Don’t forget to showcase your data analytics skills! Be ready to discuss how you've used tools like Alteryx or PowerBI in past audits. This will highlight your ability to enhance business processes, which is key for the role.
✨Tip Number 4
Apply directly through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows your enthusiasm for joining our team at DCME.
We think you need these skills to ace Internal Auditor
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Internal Auditor role. Highlight your experience in auditing capital markets and any relevant qualifications. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for the role. Share specific examples of your audit experience and how you've improved processes in previous roles.
Showcase Your Data Analytics Skills:Since data analytics is key for this position, be sure to mention any tools you’ve used like Alteryx or PowerBI. We love seeing candidates who can leverage data to enhance audit processes!
Apply Through Our Website:Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. We can’t wait to see what you bring to the table!
How to prepare for a job interview at Daiwa Capital Markets Europe Ltd
✨Know Your Auditing Fundamentals
Brush up on your knowledge of internal controls, risk management, and compliance regulations. Be ready to discuss how these elements play a role in the auditing process, especially in capital markets. This will show that you understand the core responsibilities of the role.
✨Showcase Your Data Analytics Skills
Since data analytics is crucial for this position, prepare examples of how you've used tools like Alteryx, Python, or PowerBI in past audits. Highlight specific projects where your analytical skills led to improved outcomes or efficiencies.
✨Prepare for Scenario-Based Questions
Expect questions that ask you to solve hypothetical audit issues or improve processes. Think through your past experiences and be ready to explain your thought process, the actions you took, and the results achieved. This demonstrates your problem-solving abilities.
✨Build Rapport with Stakeholders
Relationship management is key in this role. Prepare to discuss how you've successfully collaborated with various stakeholders in previous audits. Share examples of how you’ve navigated challenges and built trust, as this will reflect your interpersonal skills.
