Intercontinental Exchange Holdings, Inc.
Senior Auditor
London
Posted about 13 hours ago
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Job Purpose
The ICE Internal Audit Group is a global function with more than 80 staff across the US, UK, and India, with around 10 staff based in London. The London team provides independent, reliable, and timely assurance over the control environment across nine entities in London, Amsterdam, Singapore, and Abu Dhabi, spanning exchanges, clearing houses, a trade repository, and a benchmark administrator.
Responsibilities
- Own assigned sections of audit engagements end-to-end risk and control identification, walkthroughs, testing, evidence retention, conclusions, and first-draft issue writing to time, budget, and methodology standards.
- Contribute to scoping by identifying key risks, relevant controls, data sources, and the procedures needed to reach a supportable conclusion.
- Work across several engagements over the year, managing competing deadlines and re-prioritizing with the Managers as scope or timing changes.
- Contribute to integrated audits alongside the Global IT audit team, and to cross-cutting thematic work such as financial crime controls, market surveillance, operational resilience, change management, and data integrity.
- Apply professional skepticism by deconstructing the process, following the evidence rather than the template, and escalating early when something does not reconcile.
- Design tests proportionate to risk and materiality, using data analytics and targeted sampling, identify root cause rather than symptom, and articulate risk and consequence rather than restating evidence.
- Prepare workpapers that are complete, self-explanatory, and capable of withstanding independent review, management challenge, and quality assurance.
- Build working knowledge of exchange microstructure, the order life cycle, market conduct expectations, margining, clearing risk, and collateral management, and reflect regulatory developments in scoping and testing.
- Conduct interviews and walkthroughs to learn how the process actually operates, confirm factual accuracy with management, and remain composed under challenge.
- Monitor assigned business areas for changes in business model, systems, people, or regulation, support validation of remediation actions, and provide input to the annual risk assessment and plan refresh.
- Coach Staff Auditors, contribute to reusable test programs and playbooks, and take an active role in your own development and qualification progress.
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Knowledge and Experience
- Bachelor's degree or equivalent in a relevant discipline such as Engineering, Sciences, Accounting, Finance, Economics, Business, Technology, or Law.
- Internal Audit, assurance, risk, or control experience in a regulated environment, including hands-on execution of audit testing.
- Sound understanding of governance, operational risk, and control frameworks, and the role of Internal Audit under a Board-approved charter and professional standards.
- Strong written communication, which is concise, precise, evidence-based, and proportionate. You should be able to explain complex matters in plain English.
- Ability to work collaboratively across disciplines and geographies, and to manage competing deadlines with limited supervision.
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Desirable Knowledge and Experience
- Master’s degree preferred.
- Experience with exchanges, clearing houses, trade repositories, benchmark administration, or post-trade operations.
- Exposure to financial crime and AML, operational resilience, data integrity, clearing risk management, and regulatory reporting.
- Data-driven assurance experience.
- Evolving interest in and knowledge of RWA digitization and AI related risks and opportunities.
- Professional credentials, held or in progress: CIA, CISA, ACA, ACCA, CPA, CFA, or FRM.
Success Measures
- Delivery: Assigned sections completed to time and budget. Findings raised on time and proportionately measured.
- Quality: Minimal rework on review, workpapers that stand on their own, issues that survive management challenge on the facts.
- Impact: Observations that identify cause rather than symptom, and practical actions management can own and evidence.
- Growth: Visible progression in technical depth, autonomy, and qualification progress, consistent with readiness for Lead Auditor.
Working Style and Values
- Independence with partnership: Maintain objectivity while engaging stakeholders constructively and fairly.
- Curiosity with discipline: Bring imagination to the problem and rigor to the proof.
- Clarity over volume: Prefer sharp analysis and concise, precise drafting.
- Better together: Draw on diverse perspectives across the team.
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