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Day-to-Day Responsibilities
A global leader in investment banking and financial services is seeking an experienced Internal Auditor to join the Compliance & Legal Internal Audit team, with a focus on Regulatory Compliance and Market Conduct.
In this role, you will:
- Conduct independent audits across the firm’s compliance frameworks, including divisional compliance, market conduct risk, and surveillance activities (electronic communications and transaction surveillance).
- Assess the design and operating effectiveness of internal controls that support adherence to regulatory obligations and internal policies.
- Perform detailed testing and walkthroughs of key compliance processes, such as trade and communications surveillance, conduct risk controls, regulatory governance, policy implementation, and issue management.
- Collaborate closely with stakeholders across compliance, legal, risk, technology, and business functions to evaluate regulatory alignment and control standards.
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You will be responsible for:
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- Producing clear, well-structured audit reports.
- Articulating findings and risk themes to senior management.
- Tracking remediation efforts.
Staying current on evolving regulatory expectations, market conduct standards, and supervisory priorities will be critical to success in this role.
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