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 setting.
- 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 required.
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.
- Professional qualifications such as CFA, CA, CIA etc will be an added bonus.
Internal Auditor in London employer: Daiwa Capital Markets Europe Ltd
At DCME, we pride ourselves on being an exceptional employer, offering a dynamic work culture that fosters professional growth and development. Our commitment to employee well-being is reflected in our comprehensive benefits package and the opportunity to engage in meaningful projects that enhance both individual and organisational performance. Located in the heart of the investment banking sector, our team enjoys a collaborative environment where innovation and excellence are at the forefront of our mission.
Contact Details:
Daiwa Capital Markets Europe Ltd Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Internal Auditor in London
✨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. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of capital markets and internal controls. Be ready to discuss your experience with data analytics and how it can enhance audit processes. We want you to shine when it comes to showcasing your skills!
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values and career goals. Use our website to find roles that excite you, and tailor your approach to each company’s culture and needs. It’ll make a difference!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Mention something specific from your conversation to show you were engaged and are genuinely interested in the role.
We think you need these skills to ace Internal Auditor in London
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 this role. Share specific examples of your audit experience and how you've improved processes in the past. We love a good story!
Showcase Your Data Analytics Skills:Since data analytics is key for this position, make sure to mention any tools you’ve used like Alteryx or PowerBI. We’re keen to see how you’ve applied these skills in your previous roles, so don’t hold back!
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss out on any important updates. Let’s get your application rolling!
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 concepts apply to the capital markets and how you've used them in past audits.
✨Showcase Your Data Analytics Skills
Prepare to talk about your experience with data analytics tools like Alteryx, Python, or PowerBI. Have specific examples ready that demonstrate how you've applied these skills to enhance audit processes or outcomes.
✨Demonstrate Independence and Initiative
Highlight instances where you've led audits independently from planning to reporting. Share how you managed relationships with stakeholders and followed up on audit issues to ensure improvements were made.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving abilities in real-world audit scenarios. Think of examples where you identified risks or inefficiencies and how you addressed them effectively.
