Senior Lead Auditor - Capital Markets

Capital Markets Senior Lead Auditor

Location : For Those Who Work At Home, Ohio

Job Summary : The Capital Markets Senior Lead Auditor will be responsible for assisting with the coordination and completion of the three phases of a risk review : Planning, Fieldwork, and Reporting. This will include completion of walkthroughs, interacting with line of business personnel, performing and documenting testing of internal controls, ensuring adherence to required laws and regulations, drafting of findings, reporting deliverables, as well as identifying risks and controls associated with the various business functions. This individual will be responsible for leading and staffing audits across a broad range of capital markets activities including, but not limited to, investment banking, equities, fixed income, derivatives, foreign exchange, equity research, market risk and counterparty credit as well as applicable regulatory requirements. The Senior Lead Auditor will also be responsible for managing assigned staff and providing feedback where applicable. The Senior Lead Auditor may also participate on ad-hoc projects, ongoing risk intelligence activities and risk review related trainings.

Responsibilities :

• Demonstrate intermediate knowledge of audit concepts with a solid understanding of audit concepts within internal audit including documentation of planning deliverables, testing, audit findings, and audit reports.
• Consistently demonstrate intermediate business writing skills and cohesively present information effectively to others.
• Prioritize and execute multiple assignments; identifies obstacles within the scope of assignments; proactively communicate delays in assigned deliverables or additional capacity availability; effectively delegate work when necessary.
• Exhibit intermediate leadership skills by leading or providing oversight on stand-alone and integrated reviews or ad-hoc projects while managing staff and delivering feedback on performance.
• Exhibit an intermediate understanding of product skills and business, industry, and regulatory concepts.
• Develop relationships with clients; thoughtfully engage in networking with members of your team, within the RRG, and across Key, to build lasting relationships.
• Performs other duties as assigned; duties, responsibilities, and / or activities may change or new ones may be assigned at any time with or without notice.
• Complies with all KeyBank policies and procedures, including without limitation, acting professionally at all times, conducting business ethically, avoiding conflicts of interest, and acting in the best interests of Key's clients and Key.

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