Internal Auditor – Market Risk & Capital Markets – Banking at Beta Search Inc

Job Summary:
The Senior Auditor I role within Internal Audit is responsible for leading independent, objective assurance and consulting
activities designed to evaluate and assess the effectiveness of the Bank’s governance, risk management and control
processes. This role includes, but is not limited to, independently owning the successful execution of the end-to-end audit
process (e.g. planning, fieldwork testing, reporting, issues validation, etc.). The Senior Auditor I also establish direction for
staff on more complex audit activities and project deliverables across the organization.
Management or Supervision:
May supervise staff during an audit engagement at the VP Level and below.
Major Responsibilities:
Act as a leader, developing and promoting a workplace culture that values diversity of thought, promotes integrity and
creates an atmosphere that supports coaching and fosters accountability
Engage as a team player across peer group while also operating within industry best practices, applicable regulations,
and internal and external professional practice expectations.
Effectively manage executive relationships (internally and externally), clients and peers to mutually accountable,
productive, respectful, and trusted level and exhibit a high standard of performance and professional conduct that will
create a culture of integrity and inclusion; where all individual and departmental choices are rooted in good judgment and
support the company’s Principal of Ethics and Conduct.

Job Description:
Identify and understand risks and controls in changing environments with the ability to execute the full life cycle of an
audit, from planning to audit close.
Perform risk assessments and analyze risk trends at a macro level, identifying signs of changing risk levels and/or
symptoms of process control breakdowns.
Assess the business’ governance, risk management and control environment and generate insightful, meaningful
observations that effectively convey significance and impact on risk and/or risk management practices.
Maintain compliance with audit methodology, while also operating within industry best practices, applicable standards and
regulations, and internal and external professional practice expectations.
Establish audit scope inclusive of key risks relevant to the areas under review, with test objectives and test programs
designed to opine on the design and operating effectiveness of controls and ensure appropriate depth of testing.
Assign and review the staff selected for audit engagements to ensure appropriate skillsets for execution.
Review and challenge audit staff and audit judgment in scoping, risk and control identification, findings and observations,
and documentation to ensure accuracy.
Provide constructive input to Audit & Finance Committee and Management reporting.
Education and Licensure:
A Bachelor’s degree, preferably in Accounting, Finance, Business Administration or related business discipline at an
accredited college or university.
Professional auditing certifications, such as the CIA, CPA, or CFSA, are highly desirable.
Advanced degree preferred.
Skills and Experience:
7+ years and/or equivalent of experience in internal audit and/or equivalent of experience with the financial services
industry, related markets and regulated industries, specifically in the areas of Market Risk Management with
demonstrated familiarity including Sales and Trading; and familiarity with Broker – Dealer and applicable regulations, such
as DFA Swap Dealer, Volcker and FINRA, SEC and NASD rules.
Experience working with financial industry regulators, including OCC, FRB, and FINRA
Deep knowledge of risk assessment, audit methodology, and audit execution
Demonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.)
Strong project management skills; preferably within internal audit functions
Employs strong critical thinking skills to identify pragmatic recommendations within an evolving and increasingly complex
regulatory and risk management environment
Strong verbal and written communication skills