Responsibilities:

• Participate in audits of various proprietary trading and institutional/corporate sales activities

• Analyzing business processes, procedures, risks and evaluating the internal controls.

• Preparing clear and concise audit programs and work-papers.

• Drafting audit findings and report writing.

• Tracking and following up on open audit and regulatory issues with the clients.

• Working on special projects.

Requirements:

• 5+ years of experience in financial services internal auditing within Broker Dealer/Investment Banking

• Knowledge of financial services with relevant exposure to trading products (Credit, Rates, Insurance, Commodities. Exposure to exotic products a plus)

• Solid working knowledge of accounting policies (US GAAP or IAS) & risk management (Credit, Market and Operational) principles.

• Familiarity with SOX 404 and Basel Accord.

• Excellent interpersonal skills

• CPA and/or CIA with Undergraduate degree in accounting, finance or related field. 

For immediate consideration, please forward resume and contact details to: info@ashtonlanegroup.com

Ashton Lane Group is a boutique executive recruitment firm serving the Banking, Insurance, and Alternative Investment sectors. For the latest opportunities, visit www.AshtonLaneGroup.com

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