Audit Manager, U.S. Capital Markets

Requisition ID : 240530

Salary Range : 90000.00-167200.00

Please note that the Salary Range shown is a guideline only. Salary offered may vary based on factors including but not limited to the successful candidates relevant knowledge skills and experience.

Join a purpose driven winning team committed to results in an inclusive and high-performing culture.

Audit Manager U.S. Capital Markets - New York NY

Purpose

As the 3rd Line of Defence Internal Audit provides enterprise-wide independent and objective assurance over the design and operations of the Banks internal controls risk management and governance processes. We are professionals who thrive in a challenging environment and work with management to find solutions to address control weaknesses.

The Auditor contributes to the overall success of the Audit Function in support of the Audit Department executing its global mandate ensuring specific individual goals plans initiatives are executed / delivered in support of the teams business strategies and objectives.

The successful candidate will perform / manage audits to assess the design and operating effectiveness of internal controls relating to capital markets activities within the U.S. The incumbent will be required to work as part of the team and assist the Senior Managers and / or Director US Capital Markets Audit to provide audit services to capital markets investment and corporate banking and / or treasury functions within the Bank. The incumbent will also support the providing of high quality value added advisory services to Management as part of the audits or special projects / assignments while ensuring that audit methodology standards are met.

Apart from possessing knowledge in capital market products and related risk management techniques the incumbent should be proficient in applying risk-based auditing standards practices techniques processes and methodologies to the audit of the internal controls. Ensures all activities conducted are in compliance with governing regulations internal policies and procedures.

Accountabilities

• Champions a client focused culture to deepen client relationships and leverage broader Bank relationships systems and knowledge.
• Manage and / or supports the Officer in Charge (OIC) with the execution of assigned audits.
• Works with other audit teams as required.
• Contributes to special projects as assigned including investigations and other special projects that Audit may be requested to perform by management.
• Understands how the Banks risk appetite and risk culture should be considered in day-to-day activities and decisions.
• Ensures Scotiabank standards and the Institute of Internal Auditors (IIA) Code of Ethics are maintained in completion of all assignments.
• Stays informed of relevant business risks and controls. Effectively conveys risk-related information to Officer-in-Charge.
• Maintains stakeholder relationships to successfully carry out audit activities.
• Champions a high-performance environment and contributes to an inclusive work environment.
• Meets Department training requirements.
• Ensures audit results are gathered and assesses the impact of the findings on the internal control framework. This would include confirmation of the findings with the auditee and a discussion of the root cause with the OIC.
• Review the control effectiveness for managing risks in trading activities. Assess the trading and sales practices controls within Front Office units and overall trading management oversight.
• Review effectiveness of risk management controls and measurement technique limit design and monitoring risk reporting and traded products valuations based on an understanding of the trading strategies and products.
• Assess the effectiveness of transaction recording and deal controls.
• Work with auditors within the audit department to perform end-to-end business line reviews.
• Maintain knowledge of capital markets practices policies and procedures and local regulations.
• Provide support to stakeholders on capital markets issues and / or changes.
• Active engagement and coordination with Stakeholders for audit issue resolution.
• Support the units continuous monitoring program so as to understand and identify changing conditions within business risk and corporate functions keep abreast of changing risk profiles guide assessment of emerging risks identify systemic issues and determine current and future audit requirements.

Dimensions

Education & Experience

Working Conditions

Interested

If your experience is closely related but doesnt align perfectly with every qualification we do encourage you to apply - you might be the right candidate for this or other roles at Scotiabank!

At Scotiabank every employee is empowered to reach their fullest potential respected for who they are and embraced for their differences. Thats why we work to grow and diversify talent and engage employees in a performance-oriented culture.

Whats in it for you

Scotiabank wants you to be able to bring your best self to work and life every day. With a focus on holistic well-being our many flexible benefit programs are designed to help support your unique family financial physical mental and social health needs.

Location(s) : United States : New York : New York City

Scotiabank is a leading bank in the Americas. Guided by our purpose : for every future we help our customers their families and their communities achieve success through a broad range of advice products and services including personal and commercial banking wealth management and private banking corporate and investment banking and capital markets.

At Scotiabank we value the unique skills and experiences each individual brings to the Bank and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including but not limited to an accessible interview site alternate format documents ASL Interpreter or Assistive Technology) during the recruitment and selection process please let our Recruitment team know. If you require technical assistance please click here. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however only those candidates who are selected for an interview will be contacted.

Required Experience :

Manager

Key Skills

Auditing,GAAP,Accounting,Research Experience,SOX,Project Management,Customer relationship management,Financial Report Interpretation,Internal Audits,Mentoring,Supervising Experience,GAAS

Employment Type : Full Time

Experience : years

Vacancy : 1

Monthly Salary Salary : 90000 - 167200