Author Archives: Craig Phipps

1. IT Audit AVP x 2 – Global US Investment Bank

   2010/11/09 2:37 pm Comments Off on IT Audit AVP x 2 – Global US Investment Bank

   £50,000 – £65,000 pa + Bonus + Banking Benefits, London, Permanent

   Our client, a major US investment bank, seeks two IT Auditors looking to develop their experience of financial markets trading applications.

   You should possess circa 3-5 years IT Audit experience gained either in the Financial Services unit of a Big 4 firm or within the IT Audit function of another investment bank. Whilst detailed knowledge of trading applications is an advantage it is NOT ESSENTIAL, however, excellent interpersonal skills and the ability to build strong relationships is a must.

   This is an outstanding opportunity to gain extensive exposure to front office trading platforms and would suit individuals who embrace a meritocratic culture in the workplace.

   For more detail please contact Helen Mount or Craig Phipps on 0845 500 5105.

2. Deputy Head of Audit – Mid Cap Bank

   2010/10/25 3:46 pm Comments Off on Deputy Head of Audit – Mid Cap Bank

   £70,000 – £90,000 per annum, London, Permanent

   Our Client seeks a VP/Senior Audit Manager for their London office.

   This role offers excellent work life balance. You will act as senior team leader for the group and deputise for the Head of Audit. You will also liaise with business management, Finance, Risk Control and Legal & Compliance to identify potential areas of improvement and surveillance to conform to regulations for listed banks. Lead and Manager audits for various businesses within the investment bank which assess compliance to regulations, controls over financial reporting processes, valuation of securities and risk management, including hedging strategies. Conduct data analysis and root cause identification in special investigations coordinated with Legal.

   Main Tasks: Perform front-to-back risk assessment of the capital markets activities including sales and trading of cash equities, equity derivatives, equity statistical investment, reference-linked notes, security borrowing and lending and credit event management. Analyse and assess the risk assumed by the business. Identify and evaluate the effectiveness of controls to mitigate risks. Provide practical, innovative and value adding solutions to issues identified. Review business flows, develop audit programs, provide internal control recommendations and audit reports to senior management at the local, global and Board level.

3. Capital Markets Audit

   2010/08/29 1:14 pm Comments Off on Capital Markets Audit

   £70,000 – £100,000 per annum, London, Permanent

   This is a lead role to advise the Internal Audit and Governance groups on Capital Markets. There will be minimal Audit report writing required. The focus is entirely on educating the current Internal Audit teams on capital market developments and coordinating Audit work.

   Key responsibilities will be:

   • Perform front to back front office and departmental reviews in line with the annual audit plan. Deliver end to end audits from engagement planning through to reporting and issue follow up using risk-based audit system and techniques as appropriate:
   • Manage a portfolio of delegated Relationships with businesses and departments through business monitoring, and assurance reporting to management:
   • Contribute to the ongoing development of the audit methodology, its implementation and the Internal Audit department.

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