Audit Supervisor - Global Markets Trade Surveillance/Market Conduct - Executive Placement Network

Audit Supervisor - Global Markets Trade Surveillance/Market Conduct
Location: New York, NY (Hybrid, 3 days onsite)
Position Type: Permanent

Position Overview:
We are looking for an experienced Audit Supervisor specializing in trade surveillance and market conduct. This role is responsible for independently designing and executing complex audit tests, evaluating control environments, and building strong partnerships with line management. The ideal candidate will have a solid background in trading and auditing, along with expertise in managing risks within financial services.

Key Non-Negotiable Requirements:

• Experience: Minimum of 4-5 years in audit, compliance, business controls, or risk management roles, with experience covering trading desk activities in Equities or Fixed Income, Currencies, and Commodities asset classes.
• Analytical and Automation Skills: Proficiency in SQL, SAS, Excel, and Access for effective data analysis and automation in audit processes.
• Educational Background: Bachelor’s degree in a relevant field.
• Risk and Controls Expertise: Strong knowledge of financial services risk management, audit planning, and control testing.

Nice-to-Have Skills and Preferred Qualifications:

• Audit or Risk Control Background: Experience in financial services with emphasis on control and risk assessment.
• Advanced Project Management: Skills in handling multiple audit projects and managing timelines.
• Relationship Building: Ability to establish business partner relationships with line management to facilitate comprehensive audits.

Essential Responsibilities:

• Audit Execution: Define audit scope, develop audit programs, and conduct independent tests to ensure risk-based audit compliance, employing innovative tools for efficient and high-quality output.
• Issue and Impact Assessment: Evaluate business processes, control environment, and potential issues, recommending severity ratings based on risk assessments and business impact.
• Collaboration and Reporting: Prepare draft audit reports, share results with leadership, and offer actionable recommendations for improving the control environment.
• Team Development and Inclusion: Provide coaching and on-the-job training to peers and foster an inclusive team environment that supports growth and diversity.
• Business Partnerships: Engage with line management to understand business functions, identify risk areas, and promote a proactive approach to audit activities.

Qualifications:

Basic Qualifications:

• Experience: 4-5 years in audit or related fields, with experience covering trading desks in relevant asset classes.
• Education: Bachelor’s degree required.
• Technical Proficiency: Strong skills in SQL, SAS, Excel, and Access for audit automation and data analysis.

Preferred Qualifications:

• Risk and Control Knowledge: In-depth understanding of financial services control environments.
• Project Management and Communication: Strong project management abilities, with excellent written and verbal communication skills.

Position Highlights:

This role offers the opportunity to work within a dynamic financial services organization, dedicated to responsible growth, career advancement, and fostering an inclusive workplace. This position provides exposure to advanced audit methodologies and opportunities for professional development within a supportive team environment.

Employee Status: Regular, Full-time
Work Hours: Standard hours with no flexibility
Travel: Not required

Executive Placement Network (EPN) is assisting in filling this position. EPN is a leading recruiting agency with offices in NYC's Financial District and a network of over 1,400 recruiters. We specialize in executive search and helping clients with their hiring needs.