A financial services firm in Nassau County is actively seeking an experienced and analytical professional to join their staff as their new Vice President of Capital Markets Audit. In this role, the Vice President of Capital Markets Audit will be responsible for executing the audit plan in accordance with Internal Audit standards, relevant regulations and policies.

Responsibilities

The Vice President of Capital Markets Audit will:

• Lead and execute on of all phases of an audit (Planning, Fieldwork, Reporting and Follow-up)
• Establish strong working relationships with management
• Work closely with audit colleagues in the early identification of emerging control issues and reporting them timely to Audit Management and business stakeholders
• Develop recommendations to strengthen internal controls and improve operational efficiency
• Finalize audit findings and using judgment opine on the control environment
• Deliver audit reports in accordance with Internal Audit standards

Qualifications

• Bachelor’s degree
• 8-10+ years of audit or relevant business experience
• A comprehensive understanding of Capital Markets/ Equities and Fixed Income Sales and Trading business activities
• Excellent verbal and written communication skills with the ability to present complex and sensitive issues to senior management
• Strong understanding of financial products (including Equities, Fixed Income, Derivatives, etc.) as well as current regulatory developments
• Strong understanding of the relevant risks and controls in areas such as Trading, Origination, Distribution, Sales, Order Management and Trade Execution, and Operations
• Proven ability to build strong relationships with key stakeholders, desire to learn quickly, be flexible and think strategically
• Working knowledge of data analytics (e.g., Alteryx) and using data analytics to improve audit quality
• Strong analytical skills

Desired skills

• Advanced degree and/or certification (CPA, MBA, etc.)