Institutional Securities, Internal Audit, Senior Manager

  • Location:

    London, England

  • Sector:

    Internal Audit

  • Job type:


  • Salary:

    Up to £111111 per annum + salary negotiable

  • Contact:

    Goodman Masson

  • Job ref:


  • Published:

    9 months ago

  • Expiry date:


  • Startdate:


  • Consultant:

    Goodman Masson

Institutional Securities, Internal Auditor, Senior Manager

A Leading Global Financial Services Firm are seeking an experienced auditor for its Institutional Securities Group (ISG) team covering the Equities sales and trading businesses in EMEA. In this role you'll have the chance to assist the Internal Audit department's Institutional Securities audit team in completing its annual audit plan, communicating to senior management and providing recommendations for improvements.

Audited functions include all Equities sales and trading and together with the associated infrastructure support and control groups such as Operations, Finance, Technology, Compliance.

As a key member of the team, reporting to the Portfolio Manager for Equities in EMEA, your key responsibilities will include:

  • Assisting in the preparation of audit planning memoranda.
  • Identifying and evaluating key risks and contributing to establishing audit scope.
  • Leading walkthrough meetings and discussions with the purpose of developing audit test programs and identifying control issues.
  • Executing audits in line with audit test programs and within time budgets and leading certain aspects of audits/reviews.
  • Appropriately assessing potential findings for significance.
  • Drafting audit reports; writing clear and concise findings.
  • Communicating audit findings to the Internal Audit lead auditor and client management; assist with negotiating finalization of issues with senior client management.
  • Track implementation of recommended processes designed to strengthen internal controls.
  • Developing solid working relationship with clients.

The right person for this role will share our common set of values rooted in integrity, excellence and a strong team ethic.

A perfect candidate for this role, will have these skills:

  • Experience in financial services is essential, with a preference for those with experience of auditing sales and trading activities.
  • University degree (or equivalent) required, ACA or international equivalent preferred.
  • Big 4 experience preferred.
  • Knowledge of financial products including derivatives.
  • Understanding of sales and trading front to back processes.
  • Strong analytical skills. Able to process information quickly.
  • Motivated and a self-starter.
  • Good interpersonal and communication skills.
  • Ability to work globally and across teams.

This would be a great opportunity for someone looking to expand their career, in a friendly and fast-paced environment. You'll have bags of enthusiasm for solving problems, taking on new challenges and demonstrating excellence within the European Internal Audit Department.

In return for everything you can bring, we can offer you an exciting, challenging role within a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

As a market leader, the talent and passion of our people is critical to our success. With a philosophy that balances personal lifestyles, perspectives and needs as an important part of our culture, we can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow.


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