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Job Specification

SECURITIES TRADING SENIOR INTERNAL AUDITOR –CASS EXPERIENCE FROM AUDIT (EXTERNAL OR INTERNAL) OR COMPLIANCE MONITORING REQUIRED

£60K -£70K + Bonus & Bens | Hybrid (London)
Ref: 3867D

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 
Our client, a leading global securities trading firm, is seeking their first London based Internal Auditor to work with the U.S. based Audit team to accomplish the following;
  • Perform risk-based audit work, including detailed walkthrough meetings, documentation review, and substantive testing.
  • Perform CASS control reviews and control testing for key business processes.
  • Assess control strengths and weaknesses and determine compliance with policies, FCA guidelines and industry best practices.
  • Document findings to confirm accuracy of observations, make recommendations to improve controls and agree upon action plans.
  • Present findings in internal audit reports and follow up on agreed action plans to ensure that completed on a timely basis.
  • Provision of management information on the performance of the audit plan.
  • Escalation of key material findings to management.
  • Work with management to strengthen controls across the business.
You should either have good Compliance Monitoring experience (buy or sell side) interested in a move into Internal Audit or else Audit experience (External or Internal) of one of Investment Banking, Investment Management or Securities Trading/Stockbroking. Either way you must have good experience of auditing/monitoring of CASS controls & requirements as well as a broad knowledge of FCA Regulations as they apply to trading in the markets.   
 
You must also have a degree (or an Accountancy/Audit part or full qualification) and be able to work autonomously with minimal supervision from the US (although you will have support of London Office Compliance & Risk colleagues).  
 
NB Although a lot of the work (inc report writing and video calls with US team) can be done from home and to a flexible schedule as to when carried out, it is preferable to be in the City offices at least 50% in order to build relationships with the mainly office-based Department Management you’ll be auditing as well as with your Compliance & Risk colleagues. Excellent prospects to help develop their first ever London role then potentially in the medium term move globally within the team.
 
So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com (including a contact number & email) however please note due to Covid we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).  
 
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

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