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Assist the Head of Department to independently and objectively add value to and improve the operations of the Branch and Subsidiaries.
Aware of the market rules, regulations and guidelines of the UK market.
Assist the Head of Department to: perform annual and ongoing risk assessment, develop and execute a comprehensive risk-based audit plan informed by e.g. external regulation and Branch policy / procedure; execute effective risk-based reviews, prepare effective Audit Reports and Work Notes; and, follow-up of management actions in a timely manner.
Client Money and Assets (CASS) subject matter expert.
Willingness to perform and / or lead risk-based assignments relating to CASS, and also across the entire audit universe, in all areas relevant to the Branch and Subsidiaries. Results effectively reported to the Head of Department, Head Office Internal Audit Department (HOIAD) and Senior Management.
Conduct SOX-related activities.
Perform ongoing monitoring of the risks of the Bank by e.g. attending Committees/Meetings, reviewing internal documents, and report the results to the Head of Department.
Provide relevant assistance and / or advice to Branch Management and Subsidiaries on any procedure and control issues, when requested or considered appropriate.
Keep up-to-date with the latest industry and regulatory trends and apply them to the internal audit practices.
Documentation during all stages of the audit cycle must be sufficient, reliable, relevant, and useful to support results and conclusions.
Perform effective audit file reviews as part of the quality assurance requirement.
Share technical knowledge and cross-train other members of the Internal Audit team.
Ensure IAD policies and procedures are up-to-date.
Prepare Daily Reports to HOIAD.
To carry out other duties as requested by the Head of Department or in his/her absence the Chief Representative of HOIAD, or HOIAD.
The post holder is expected to exercise considerable initiative, tact and independence of action.
QUALIFICATIONS AND EXPERIENCE
An accounting degree, professional accountancy, internal audit or risk management qualification.
Client Money and Assets (CASS) subject matter expert is desirable.
Experience of leading complex internal audit projects and delivering strategic, risk-based auditing.
Substantial audit experience gained from a Big 4 Audit Firm is desirable.
Strong analytical skills.
Exceptional communicator (both verbal and written), with the ability to develop and build effective relationships within the Internal Audit Department, and across the Branch and Subsidiaries.
Ability to meet deadlines through effective time management.
Maintain advanced technical knowledge of Client Money and Assets (CASS) and other areas relevant to the Branch and Subsidiaries.