The Audit Senior Analyst is mainly responsible for performing the various business, regulatory, compliance, and operational audits in accordance with the Internal Audit Plan and support the annual Internal Audit risk assessment process. Draft detailed audit programmes to test internal controls, identify and document findings, and liaise with line management to confirm the accuracy of observations and agree upon action plans. Write clear, concise, and persuasive audit reports and other documents summarising the level of risk, scope, findings, recommendations, and the current status of the issues. It is also expected that this role will direct and participate in special audits or project reviews.
Responsibilities
To support the IA function in providing Management and the Board with an independent assessment on the adequacy and effectiveness of the Firm’s processes for controlling its activities and managing its risks. The Senior Audit Analyst is expected to work with the Internal Audit group in accomplishing the following:
- Perform risk-based audit work, including detailed walkthrough meetings, documentation reviews, and testing of operating design and effectiveness. Validate data and analysis for accuracy in line with the audit strategy.
- 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 audit findings and action points are clearly positioned with senior stakeholders to enable management to resolve in a reasonable timeframe.
- Utilize relationship management skills to build business relationships with audit clients.
- Ensure that audits are delivered on time and to a high standard.
- Provide timely feedback to the Head of Internal Audit on audit progress and deliverables.
- Execute special projects as required.
Key Contacts and Working Relationships:
- Establish and maintain relationships with key stakeholders within the Firm.
- Liaise with Front Office, Compliance, Risk and Support Functions to ensure clear understanding of the audit scope, issues raised and action point required to address the findings.
Skills:
- Minimum of 3 years’ experience of performing business, regulatory and compliance/financial/operational audits.
- Excellent verbal and written communication skills.
- A mix of Internal Audit, Compliance, Risk Management and/or consulting experience.
- Be able to lead meetings with management independently or drive the conversation to obtain audit results.
- Knowledge and/or experience of key regulations such as AML, SM&CR, GDPR, MiFID II etc.
- Strong project management skills for audit manager level.
- Familiarity with MS Office including Word, Excel, PowerPoint, Outlook.
- Strong analytical and investigation skills.
- Keeps up to date with industry developments, legislation and regulatory requirements.
- Self-motivated and able to work independently and as part of a team.
Education/ Experience Requirements:
- Bachelor’s degree in Accounting or Finance preferred.
- One or more certifications (e.g., ACA, ACCA, CPA, CIA, CAMS).
- Minimum 3 years’ prior experience working in audit, compliance and/or risk management function (minimum 3 years in Internal Audit/Public Accounting).
To all recruitment agencies – BGC Group & affiliates do not accept agency resumes. Please do not forward resumes to our job alias, employees or any other company location. BGC Group & affiliates are not responsible for any fees related to unsolicited resumes. Please contact the Recruitment function for additional details.
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