Audit Manager I TDS

Employment Type

: Full-Time


: Accounting

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Job Requirements

* Conduct audit work based on audit plans, enhance as needed; execute audits timely in accordance with established standards, including risk and control assessments to identify key risks and potential missing or inadequate controls to mitigate those risks.
* Evaluate key control effectiveness by analyzing available documentation and asking insightful questions to identify root causes.
* Develop and document audit findings in a clear and concise manner, communicate observations timely to line management, secure formal management responses to audit recommendations and ensure completion within prescribed deadlines.
* Build effective relationships with stakeholders, inspire trust, and add value through interactions with clients.
* Participate in projects and initiatives, which may include agile auditing, continuous testing, or enhancing dashboard reporting.

Job Description

The Audit Manager I is principally responsible for oversight of assigned audit execution, preparation of audit documents, assisting with the completion of the Audit Plan, and preparation and/or review of ad-hoc reporting.


* 3-5 years of capital markets audit experience, preferably with both Internal Audit and Investment Bank / Broker Dealer experience
* Bachelor's degree and professional designation(s) (e.g. Securities Industry Essentials Exam, Series 7 - General Securities Representative Exam, Certified Internal Auditor (CIA), Chartered Financial Analyst (CFA), Certified Anti-Money Laundering Specialist (CAMS), Certified Public Accountant (CPA), etc.) or ability to obtain designation within 24 months of start date
* Capital markets expertise, including exposure to end-to-end trade life-cycle processes for bonds, equities, and/or derivatives
* A strong understanding of audit processes including experience performing risk assessments, walkthroughs, developing and conducting audit testing, documenting work performed on an automated work paper system, and presenting findings
* Excellent written and verbal communication skills with stakeholders of all levels
* Proficient knowledge of relevant laws, regulations, and audit standards
* Must have personal integrity, initiative, ability to handle confidential information with discretion, and professional skepticism
* Ability to work both independently and collaboratively as part of a larger team, including skills in mentoring/coaching colleagues
* Expertise using Microsoft Excel, Word, PowerPoint
* Be empowered to promote a positive work environment, mentor/coach/educate colleagues, and continuously learn
* Travel approximately 25% - principally to Toronto and Mount Laurel, NJ

Employment Type


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