Capital Markets Auditor
Position Purpose
- To conduct audit work in accordance with the IG methodology and ensure high standard of deliverables
- To contribute to risk assessment of audit units based on knowledge obtained through assignments as well as day-to-day contact with auditees
- To follow through with auditee on implementation of recommendations
Responsibilities
Direct Responsibilities
- Participate in the audit team assignments and special reviews (when required by regulators, business lines, or senior management)
- Contribute to the planning and preparation of the assignment e.g. understanding the methodology to be applied, acquiring a high level knowledge of the activities to be covered, gathering relevant key figures, etc.
- Develop a thorough understanding of the activities within the scope of the assignment, its strategy and governance, and the related risks.
- Evaluate the overall setup and identify the main areas of risk (including a comprehensive assessment of the management actions).
- Recommend appropriate actions to the management in order to remediate the identified weaknesses.
- Formalize the results of the assignment investigations and contribute to the production of the assignment deliverables.
- Present the conclusions of the assignment fieldwork to the senior management.
- Review the implementation of the Inspection Générale recommendations
- Review and challenge the actions defined to remediate the weaknesses identified by the audit team through its assignments.
- Contribute to the periodic risk assessment of Capital Markets activities and planning
- Perform a periodic and comprehensive risk assessment of the Capital Markets activities as per the Group guidelines.
- Keep abreast of change/new development of regulatory requirements that are relevant to Capital Markets activities and related functions.
- Assist in the elaboration of the Capital Markets Inspection planning following a riskbased approach.
- Participate in the Markets and Models audit line events
- Attend the Markets and Models community event organized annually at the head office level.
- Contributing Responsibilities
- Contribute to the improvement of the Inspection Générale practices through the elaboration and update of our methodologies.
- Technical and Behavioral Competencies required
- Strong technical background in Capital Markets activities.
- Outstanding analytical skills.
- Curiosity, rigor, and precision.
- Ability to synthesize.
- Excellent writing and presentation skills (in English).
- High level of initiative, commitment, and drive.
- Ability to work effectively under pressure and within short deadlines.
- Promotes a constructive, cooperative, and participative teamwork environment
Specific Qualifications (if required)
- Master degree in relevant areas (Banking, Capital Markets, engineering, applied mathematics, etc.).
- An experience of 3-5 years in Capital Markets activities and/or related support or control functions (prior audit experiences are considered but are not specifically required).
Company Reg No.: 201131609D, Licence No.: 11C4684, Reg No: R1221146