TampaFLRecruiter
the smart solution for Tampa jobs

Audit Manager, ICG Broker/Dealer

Company: Citi
Location: Tampa
Posted on: November 11, 2018

Job Description:


  • Primary Location: United States,Florida,Tampa
  • Education: Bachelor's Degree
  • Job Function: Audit
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel Time: Yes, 10 % of the Time
  • Job ID: 18066826


    DescriptionAbout Employer

    Employer, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Employer provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities are safeguarding assets, lending money, making payments and accessing the capital markets on behalf of our clients.

    Employers Mission and Value Proposition explain what we do and Employer Leadership Standards explain how we do it. Our mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. We strive to earn and maintain our clients and the publics trust by constantly adhering to the highest ethical standards and making a positive impact on the communities we serve. Our Leadership Standards is a common set of skills and expected behaviors that illustrate how our employees should work every day to be successful and strengthens our ability to execute against our strategic priorities.

    Diversity is a key business imperative and a source of strength at Employer. We serve clients from every walk of life, every background and every origin. Our goal is to have our workforce reflect this same diversity at all levels. Employer has made it a priority to foster a culture where the best people want to work, where individuals are promoted based on merit, where we value and demand respect for others and where opportunities to develop are widely available to all.

    Internal Audit is a global organization of 2000 professionals covering Employer's global businesses and service to clients and customers in over 180 countries. Employer's Internal Audit division provides independent assessments of the company's governance, risk management and internal control environment for key stakeholders including the Board of Directors, senior management and Employers numerous regulators globally. Internal Audit is a change agent within Employer aimed to enhance the control culture of Employergroup worldwide and thereby support senior management decision making around the globe.

    Job Purpose:

    This role executes and directs the timely delivery of high quality, value added audit assurance and audit reports for a portfolio of business activities, which meet the requirements of the Boards of Employergroup and Employerbank, their affiliates and of Employers respective regulators, globally.

    This role focusing on leading the audit coverage for Global Markets businesses, with a particular focus on Markets-wide initiatives, remediation projects, risk assessment, annual planning, business monitoring, audit execution and reporting.

    The person will work with global and regional ICG personnel to deliver the audit plan for the IA Regulatory Initiatives and Centralized Markets Functions team.

    Key Responsibilities:


    • Develops and executes a robust audit plan focused on Markets audit coverage of the material Broker-dealers at Employer, in accordance with IA standards, Employer policies, and local regulations.
    • Manages audit activities related to material Broker-dealers at Employer focused on the design and operating effectiveness of the controls implemented to address Principal Risks impacting these legal entities.
    • Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and (where appropriate, branch examinations, as well as business monitoring and governance committee reporting.
    • Manages audit activities for a component of a product line, function, or legal entity at the regional or country level including a portion of the audit annual plan.
    • Applies in-depth level of expertise in one or more of the corporation's businesses and leverages this knowledge into a leadership role in one or more teams.
    • Proactively advances integrated auditing concepts and use of technology.
    • Manages a complex and critical unit within Internal Audit, including a small to medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget. Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: Consumer or Investment Banking, technology management; project/program management; regulatory compliance or supplier management.
    • Leads the professional development of Internal Audit staff.
    • Develops effective senior line management relationships and has a strong understanding of the businesses.
    • Applies an in-depth understanding of the inter-relationships of business and support units throughout the corporation and how they impact the overall control environment and the audit approach.
    • Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or regional executive management partners. May negotiate internally often at higher levels on matters which will have a major impact on the area managed.
    • Demonstrates strong judgment, political astuteness, and sensitivity to cultural diversity.
    • Possesses strong project management and interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking. Consulted often by others for advice and opinions and recognized as a leadership role model.
    • Participates in major business initiatives and pro-actively advises and assists the business on change initiatives.
    • Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues.
    • Analyses reporting findings; Recommends appropriate interventions where needed. Proposes creative and pragmatic solutions for risk and control problems. Partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues.
    • Serves as lead reviewer for all types of reviews.
    • Reviews and approves Business Monitoring Quarterly Summaries.



      Qualifications



      • BA/BS or equivalent. Related certifications (CA, CPA, CFA, CIA or similar) are a plus.
      • Similar experience in a related role covering risk and controls assurance with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables.
      • Demonstrates experience in executing challenging audits and controls testing work within a matrix reporting environment.
      • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Capital Markets products, especially those associated with the Markets business (FX, Fixed Income, Credit Markets, Global Securitized Markets, Municipal Securities, Commodities, G10 Rates and Money Market).
      • Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views. This individual must be an articulate and effective communicator, both orally and in writing, with an energetic, charismatic and approachable style.
      • Strong interpersonal skills for interfacing with all levels of internal and external audit and management.
      • Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience.


        Valuing Diversity:

        Demonstrates an appreciation of a diverse workforce. Appreciates differences in style or perspective and uses differences to add value to decisions or actions and organizational success.

        Keywords: Citi, Tampa , Audit Manager, ICG Broker/Dealer, Executive , Tampa, Florida

        Click here to apply!

        Didn't find what you're looking for? Search again!

        I'm looking for
        in category
        within


Other Executive Jobs


Physician - Administration - Administration - Management
Description: Chief Medical Officer - Bradenton FL Provides leadership and expertise for clinical integration and alignment, quality improvement, hospital and clinical effectiveness, medical staff operations, physician (more...)
Company: Manatee Memorial Hospital Universal Health Service
Location: Bradenton
Posted on: 11/17/2018

Current College Students - In-Store Management Executive Internship (Minneapolis, MN)
Description: One of the world's leading and most recognized brands comes to life in our stores, where guests are still captivated by everything that made them fall in love with Target. Our approximately 1800 locations (more...)
Company: Target
Location: Orlando
Posted on: 11/17/2018

College Graduates - Executive Team Leader (Assistant Manager) - Western, NJ (Rockaway/Hackettstown)
Description: One of the world's leading and most recognized brands comes to life in our stores, where guests are still captivated by everything that made them fall in love with Target. Our approximately 1800 locations (more...)
Company: Target
Location: Saint Petersburg
Posted on: 11/17/2018


Unit Manager- RN - Sign-On Bonus Available
Description: HCR ManorCare provides a range of services, including skilled nursing care, assisted living, post-acute medical and rehabilitation care, hospice care, home health care and rehabilitation therapy.Leadership (more...)
Company: HCR ManorCare
Location: Sarasota
Posted on: 11/17/2018

Field Case Manager (RN)
Description: Field Case Manager RN This is a full time permanent opportunity with a growing Case Management Company, which allows the nurse a lot more autonomy with their caseload with still the
Company: Pivotal Placement Services
Location: Lakeland
Posted on: 11/17/2018

Clinical Case Manager-RN-Florida Hospital
Description: Registered Nurse Clinical Case Manager br br br br Registered Nurse - RN -Case Management br br br br ul br li This position is located in Daytona Beach, Florida br br Top Reasons (more...)
Company: FH Memorial Medical Center
Location: Orlando
Posted on: 11/17/2018

College Graduates - Executive Team Leader (Assistant Manager) - Lehigh Valley, Pennsylvania
Description: One of the world's leading and most recognized brands comes to life in our stores, where guests are still captivated by everything that made them fall in love with Target. Our approximately 1800 locations (more...)
Company: Target
Location: Tampa
Posted on: 11/17/2018

Director of Patient Safety
Description: Director of Patient Safety br Job Summary: br br As a talented and dedicated Risk Director, your career is very valuable to people and with your special Risk skill set, you can make a difference. (more...)
Company: Chapel Hill Solutions
Location: Orlando
Posted on: 11/17/2018

Current College Students - Management Trainee Intern
Description: Our Internships play an integral role in the success of Enterprise and are a comprehensive introduction to our Management Training Program. For a college student, real-world professional business experience (more...)
Company: Enterprise Holdings
Location: Palm Harbor
Posted on: 11/17/2018

Associate Medical Director
Description: ESSENTIAL FUNCTIONS: br ---Provides clinical leadership to the interdisciplinary MagellanRx Medical Pharmacy Utilization Management - Clinical Operations team, which includes clinical/medical. Provides (more...)
Company: Magellan Health
Location: Orlando
Posted on: 11/17/2018

Log In or Create An Account

Get the latest Florida jobs by following @recnetFL on Twitter!

Tampa RSS job feeds