Latest Vacancies in Capital Markets Audit



Urgent requirement for Internal Auditors with Broking / Etrading experience for AVP / VP role with sole management responsibility. Apply yo Paul Stanbridge for more details [email protected]

Capital Markets & wholesale Banking Audit – London

£70-80K + Bonus + Bens

Friendly smaller team environment with GREAT WORK / LIFE BALANCE and an opportunity to increase your knowledge of Capital Markets & Banking.

You will be a Senior member of a small Audit team reviewing strategic controls for high-risk operations of this Global Financial Services firm and offer recommendations to mitigate key risks. You will gain exposure to senior-level management including board members.

The successful candidate will be:

1. Big 4 Risk Assurance or External Auditor with Capital Markets and Banking client exposure at Manager level

and/or

2. Senior Internal Audit professional seeking their second move within Banking.

Given the size of the firm the ability to audit end to end business processes across a wide range of areas  including: front office trading (principally Rates, FX and equities, research, trade finance), Compliance / Fraud, Risk and Operations

Unfortunately, the bank are UNABLE ABLE TO SPONSOR people outside of the EU.

Apply to Paul Stanbridge with your CV to be considered for the role.

We expect to receive a very high number of applications and may not be able to reply to everyone.

Strategic controls for high-risk operations of Global Financial Services Firm

If you are a newly qualified accountant (or equivalent) from a leading practice or consulting firm with experience in either Risk Management, Assurance, Internal Audit, Controls or Accounting for large corporate client accounts, we have an excellent opportunity for you to join a global brand with very strong career prospects in London, Edinburgh, and the US

As part of a team of like-minded professionals, you will be responsible for reviewing designated higher risk operations across the front, middle and back office, report your findings and develop recommendations on mitigating controls weaknesses with your stakeholders. You will gain senior-level exposure across the firm, working alongside highly experienced professionals in a collaborative team environment. You will be given in house training and benefit from sponsored ongoing professional development.

You do not need prior financial services but it is advantageous.

To apply you must have:

  • large corporate experience
  • Audit, Internal Audit, Accounting, Controls or Risk experience
  • Good academic record
  • Full / part qualified ACCA, ACA, CA, CFA etc
  • A UK or EU passport

Apply to Paul Stanbridge with your CV to be considered for the role.

If you have recent Technology experience and are interested in living and working in Warsaw Poland, we have an excellent opportunity for you.

This is a rare opportunity for ANY top percentile technology professional with a good undergraduate degree and 0-4 years of experience within a large corporate firm OR for Information Technology / Computer Science graduates looking for their first role.

The role will be based exclusively in Warsaw, with a global reach from London to New York across the Banks bespoke infrastructure, networking, cybersecurity, and application technologies. Liaising with senior staff members in a collaborative team environment you will apply your specialist knowledge and skills reviewing the group’s IT operations controls and governance.

To apply you must have:

  • A Polish UK or EU passport
  • Excellent Academic Qualifications
  • Computer / Information Technology experience/degree

Apply to Paul Stanbridge with your CV to be considered for the role

SVP Global Markets Audit (Conduct)

Seeking Audit, Risk or Controls Global Markets traded products SME with an understanding of market conduct risk and conduct regulations.
This is an EMEA wide role covering multiple markets and business lines, experience of running large audit or control reviews of a simlar scale for traded products is prerequisite.
Team management with 2+ direct reports.
Excellent career prospects for the successful candidate. EU / UK Visa is required
Due to anticipated high interest in the role we regret we will not be able to respond to applicants immediately.

Director – Smaller Financial Services Practice, Internal Audit (attractive work life balance)

UK / EEA VISA required

London based role with small team of a global practice firm seeking an experienced Ex Head of Audit or Practice Director to lead / coach a team of auditors and help build the business.  The role oversees a portfolio of client work delivering fully outsourced / co-sourced internal audit and assurance assignments.

Responsibilities:

As an outsourced Head of Internal Audit, you will be responsible for the full lifecycle of planning, execution, reporting and committee meetings, lead client work, finalise scope with clients, overseeing team member delivery, and execute quality assurance reviews of internal audit files and reports.

As a Director you will be responsible for onboarding new clients, assessing fees and budgets, managing contracts, Billing, invoicing and recovery management. You will also assist in business development initiatives and create tender proposals leading presentations and target client visits. A small team of Associates, Managers and contract staff are in place who you will be responsible for direct line management, resource planning, recruitment and time management.

Knowledge:

  • Internal Audit
  • Compliance and Risk Management Frameworks (FCA)
  • Conduct Risk Management
  • Regulatory reporting (COREP / FINREP)
  • Client Money and Assets (CASS)
  • CRD IV

Ideally you will have a wide exposure to difference FS industries:

  • Retail Banking
  • Corporate Banking
  • Investment Management and Wealth Management
  • Securities, exchanges and trading services

Some travel across the south east UK and possibly overseas travel is required,

Apply to Paul Stanbridge for more information or an informal conversation.

For ambitious individuals with c.1-4 years post qualification experience of audit / risk controls of financial services businesses across either Global Markets, Banking, or Asset Management. We have multiple opportunities across Global Tier One Banks and SME Investment clients.

If you have:

  1. Recent Internal Audit experience, Big 4 or Risk Assurance/ External Audit experience.
  2. An ACCA / ACA or equivalent Diploma.

AND experience of opperations in one of the following business streams:

  • Global Markets: Sales and Trading; FX, Fixed Income, Rates, Traded Credit, Equities, Derivatives, Commodities, Broking
  • Corporate Banking: Trade Finance, Corporate Finance, Loans, M&A, Origination, Treasury Solutions, Custody & Settlements
  • Risk or Quant: Market Risk, Ops Risk, Credit Risk, Modelling or Quant
  • Asset Management; Institutional or Private client Investment Management, Fund Management, Hedge Fund, Asset Services

Apply to us with a copy of your CV.

If you would like to know more about these opportunities or for an informal discussion about their suitability to your career goals, please contact Paul Stanbridge.

You must have a relevant VISA to work in the UK.

We are receiving a lot of interest in these roles and may not be able to reply to all applicants.

Global Asset Manager seeking Senior Auditor with c.1 years+ pqe

This is an excellent opportunity to join as a senior member of an established team. You will be required to coach graduates through the audit cycle and build relationships with senior management and stakeholders.

Main Duties and Responsibilities:

  • Develop strong partnerships with business management by providing a credible point of contact for Audit issues. These solid relationships should be based around a shared commitment to ensuring that risk issues are routinely considered in all material decisions and reported appropriately.
  • Conduct specific risk and control reviews (e.g. RMS Risk Reviews, Combined Assurance Reviews with Risk and/or Compliance or ad hoc reviews) at the request of the business, senior management or the Head of Audit.
  • Manage and maintain appropriate Audit management tools, techniques and reports to support the business, senior management, Board and regulators.
  • Deliver quality information from for presentation to senior management forums to enable understanding of risks and requirements for their mitigation and also:

Requirements:

  • 1+ years of Internal Audit experience within a Banking, Asset Management, Custodian, Wealth or Fund services firm
  • An accounting qualification (ACCA ACA) or equivalent
  • Experience of leading elements of an audit review
  • Coaching junior staff
  • Excellent interpersonal and time management skills

 

An excellent opportunity to join this large global Asset Manager with a strong European presence, who are looking to appoint an Asset Management Internal Audit Manager, covering Investment Management and Asset Management.

A strong background in financial services is essential, with circa five years plus previous experience leading audits in an Asset Manager, Retail Bank, Wholesale Bank, Private Wealth, Fund or Custodian firm.

The successful candidate will be able to establish and maintain positive working relationships with all stakeholders from team members to senior management.

Essential

  • Degree educated in a relevant business subject
  • Five years PQE experience within Internal Audit
  • Team Management experience
  • Accountancy or audit qualification

 

 

VP Audit Commodities

Our client, a tier one investment bank is seeking an Internal Auditor with sound working knowledge of commodities trading risk and controls to join their dedicated internal audit team. The Internal Audit function consists of teams who provide independent assurance over the organisation and operations for all stakeholders across varied business lines, ultimately providing assurance to the Board and Group Executive Management.

The successful candidate will have a background in Internal Audit in a banking environment with practical experience of commodities (or potentially Capital Markets products and an interest to learn commodities). You will have excellent communication skills to manage relationships with clients / senior management and good leadership skills to manage Associates and junior members in the team.

This is an excellent opportunity for an Audit VP  / Audit Manager looking for a move with some management responsibilities.

Essential

  • An accountancy or audit qualification
  • Experience of managing and leading audits within a Banking environment
  • Excellent interpersonal and managerial skills
  • Commodities knowledge

Unfortunately our client are unable to sponsor candidates therefore you must have a relevant UK VISA or UK / EU citizenship to apply.