Vice President Commercial & Investment Banking Audit

Vice President Commercial & Investment Banking Audit

Our Internal Audit group is an independent function accountable to the Audit Committee of the Board of Directors, the Office of the Chairman, senior management and our global and local regulators. Internal Audit is comprised of more than 1,000 auditors, located in key locations across the globe, and is responsible for assessing the adequacy of the control environments across the firm's lines of business.

The Commercial and Investment Bank (CIB) Dodd-Frank/Volcker Audit Team manages a program of audit coverage over the CIB’s regulatory compliance-related controls, including those over Dodd-Frank swaps and security-based swaps, Volcker and related areas in global, product-aligned and/or legal entity-aligned audits. Coverage of certain processes and controls requires engagement across other Lines of Business and Corporate Functions. This role is a Vice President – Audit Manager for the CIB Compliance Dodd-Frank/Volcker audit team.

 

Job Summary

As a Vice President Audit Manager in Commercial and Investment Bank Compliance Audit team, you will play a pivotal role in strengthening internal controls within the Dodd-Frank/Volcker compliance domain. You will collaborate with global Audit colleagues and business stakeholders to plan, execute, and document audit reports, leveraging your judgment and expertise to drive improvements.

Job Responsibilities

• Lead and participate on audit engagements, from planning to reporting, and produce quality deliverables to both department and professional standards, while ensuring audits are completed timely and within budget
• Partner with stakeholders, business management, other control groups (i.e. risk management, compliance, fraud prevention), external auditors, and regulators, establishing strong working relationships while maintaining independence
• Finalize and communicate audit findings and use judgment to provide an overall opinion on the control environment by developing recommendations to strengthen internal controls
• Implement and execute an effective program of continuous auditing for assigned areas, including monitoring of key metrics to identify control issues and adverse trends
• Effectively manage teams where required, performing timely review of work performed and providing honest and constructive feedback
• Stay up-to-date with evolving industry/regulatory changes impacting the business and participate in appropriate control forums
• Demonstrate and maintain technical competency, staying up to date with evolving regulatory and industry developments impacting the CIB Dodd-Frank-Volcker compliance area  

 

Required Qualifications, Capabilities and Skills

• 10+ years of internal or external auditing experience, or relevant business experience
• Fast-learner who can work independently and collaborate well with team members.
• Bachelor's degree (or relevant financial services experience) 
• Solid understanding of internal control concepts, with the ability to evaluate and determine the adequacy of controls by considering business and technology risks in an integrated manner
• Experience with internal audit methodology and applying concepts in audit delivery and execution
• Excellent written, verbal, and presentation skills; adept at presenting complex and sensitive issues to senior management
• Strong interpersonal and influencing skills, with the ability to establish credibility and build partnerships with senior business and control partners
• Strong analytical skills, particularly in regard to assessing the probability and impact of an internal control weakness
• Strong markets experience and deep product knowledge

 

Preferred Qualifications, Capabilities and Skills

• Exposure to Dodd-Frank/Volcker regulatory compliance and related processes 
• Chartered Accountant or equivalent, CIA, and/or Advanced Degree in Finance or Accounting

Experience Level

Executive Level