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Role Summary - The Audit Senior Analyst/Audit Manager will assist in the annual risk assessment process, perform and manage primarily regulatory and compliance audits, and participate on special projects. Write and/or review detailed audit programs to test the internal controls. Document findings and interface with line management to confirm accuracy of observations and agree upon action plans. Write and/or review clear, concise and persuasive audit reports and other documents summarizing level of risk, scope, findings, recommendations, and the current status of the issues. Direct and participate in special audits or project reviews. Key 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/Audit Manager is expected to work with the Audit group in accomplishing the following:
Manage the work of project-specific teams and provide supervision and direction.
Perform risk-based audit work, including detailed walkthrough meetings, documentation review, and substantive testing.
Perform Sarbanes-Oxley control testing for key business processes.
Assess control strengths and weaknesses and determine compliance with policies and procedures.
Draft and present comprehensive management action plans and audit reports as final deliverables.
Coordinate work with Risk & Compliance and other control-related activities, including Internal Audit.
Utilize relationship management skills to build business relationships with audit clients
To positively participate as part of the wider Internal Audit team in all situations.
Ensure outstanding issues are clearly positioned with senior stakeholders to enable management to resolve in a reasonable timeframe.
Ensure that audits are delivered on time and to a high standard.
Management and execute special projects as required.
Provide feedback to the Head of Audit on audit progress and deliverables during weekly meetings.
Key Contacts and Working Relationships -
Establish and maintain relationships with key stakeholders within the Firm.
Liaise with other control functions (Compliance, Risk and Internal Controls) to ensure clear understanding of risks to the business is understood to ensure a consistent message is conveyed to the business.
Skills / Experience Required -
Minimum of 3 years' experience of performing regulatory and compliance/financial/operational audits.
Excellent verbal and written communication skills.
Supervisory experience (for Audit Manager level) leading small to medium size teams of auditors.
A mix of Internal Audit, Compliance, Risk Management and/or consulting experience (preferably Big-4).
Be able to hold meetings with management independently or drive the conversation to obtain audit results.
Excellent verbal and written communication skills.
Strong project management skills for audit manager level.
Familiarity with MS Office including Word, Excel, PowerPoint, Outlook.
Ability to follow directions and receive constructive feedback on work products submitted for review.
Knowledge of key regulations such as AML, SMCR, GDPR, MiFID II.
General -
Keep up to date with industry developments, legislation and regulatory requirements.
Strong analytical and investigation skills.
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., CPA, CIA, CAMS) and/or graduate degree preferred.
3 -10 years' prior experience working in audit, compliance and/or risk management function (minimum 3 years in Internal Audit/Public Accounting).
Agency Notice -
Cantor Fitzgerald & affiliates do not accept agency resumes. Please do not forward resumes to our job alias, employees or any other company location. Cantor Fitzgerald & affiliates are not responsible for any fees related to unsolicited resumes. Please contact the Recruitment function for additional details
