Executive Director Internal Audit

Kforce Finance and Accounting

2020-10-12 20:12:23

Job location New York City, New York, United States

Job type: fulltime

Job industry: Executive Positions

Job description


Kforce's client, a global financial services firm in NYC is seeking an Executive Director for its Institutional Securities Group's Internal Audit team, with coverage primarily centered on the Electronic Trading Business globally. Overview: The person in the role will manage the Internal Audit department's team and be responsible for accessing risk, developing and executing its annual audit plan, and providing cogent informative messages related to the division's control environment to senior management, regulators and the bank's board of directors. The role requires a control minded change agent who readily embraces new ideas, takes the initiative, and seeks to make a meaningful and positive impact on the division's control environment. The individual should have strong knowledge of the Electronic Trading Business and the regulations around them. This position will start remotely. Responsibilities include:
  • Identify and assess areas of critical and high risks and evaluate the soundness of their controls as part of audits, continuous monitoring and closure verification work
  • Drives discussions with senior business stakeholders to understand risk drivers, control state, and impact in order to formulate a point of view of the control environment
  • Evaluates the adequacy of the control environment for the Electronic Trading business and the associated processes, compliance with internal policies and procedures, external rules and regulations
  • Performs risk assessments of the Electronic trading business processes; Leverages business knowledge and industry insights to identify trends which impact the firm and/or business
  • Effectively represents the department in discussion with regulators

Job Requirements:


  • College degree (or equivalent) required, CPA, CIA or international equivalent audit qualification preferred
  • 10-15 years of experience in financial services is essential, with a preference for those with experience of auditing electronic trading business including client order handling, risk management including limits, market surveillance, and regulatory reporting
  • Will also consider candidates with experience in the Electronic trading business who understands the risk of the business & lifecycle of a trade & can identify key risks of electronic trading
  • In-depth understanding Electronic trading front to back processes; Understand the business strategy of Electronic Trading & the risks
  • Understand the software development life cycle
  • Able to identify regulatory risks and impact to the business line
  • Able to analyze trends and identify areas of further diagnosis
  • Ability to work across teams
  • Able to convey complex risks and issues for a board range of audiences clearly and concisely while actively building consensus
  • Ability to handle multiple projects while meeting deadlines with minimal supervision
Kforce is an Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, pregnancy, sexual orientation, gender identity, national origin, age, protected veteran status, or disability status.

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