Internal Audit Role - Securities Business

Divisional Overview:

Internal Audit independently assesses the firm's internal control structure. We provide assurance that financial reporting is reliable, that there is compliance with applicable laws and regulations and that the firm's operations are effectively controlled. We assist management in commercially managing risk by providing advice in developing control solutions and monitoring the implementation of management's control measures. IA assists the firm's Board of Directors- Audit Committee in fulfilling its oversight responsibilities and regularly interacts with the external independent auditors.

Internal Audit is organized into global teams of business and technology auditors:

- Securities - covers the Firm's Sales, Trading and Insurance businesses; including related supporting control functions such as Operations, Technology, Product Control and Divisional Compliance.

- Investment Banking - covers the firm's banking activities and Global Investment Research operations.

- Investment Management - covers the firm's Private Wealth Management, Asset Management and Merchant Banking businesses.

- Corporate - covers the firm's Risk Management, Finance, Corporate Governance, Legal, Compliance and Regulatory Reporting areas as well as Human Capital Management, Services and the Executive Office.

Basic Qualifications:

- CA/CFA/MBA in Finance/Masters or equivalent University degrees in Accounting/Finance.

- Strong interpersonal, written and verbal communication skills.

- Technical Skills - Demonstrates strong technical skills required for the role, pays attention to detail, takes initiative to broaden his/her knowledge and demonstrates appropriate financial/analytical skills.

- Drive and Motivation - Successfully handles multiple tasks, takes initiative to improve his/her own performance, works intensely towards extremely challenging goals and persists in the face of obstacles or setbacks.

- Teamwork - Collaborates with others within and across teams.

- Communication Skills - Communicates what is relevant and important in a clear and concise manner and shares information/new ideas with others.

- Judgement and Problem solving - Thinks ahead, anticipates questions, plans for contingencies, finds alternative solutions and identifies clear objectives.

- Creativity/Innovation - Looks for new ways to improve current processes and develop creative solutions that are grounded in reality and have practical value.

Job responsibilities:

- Follow up with stakeholders on the remediation of actions on issues identified during audits.

- Ad hoc work on firmwide projects around new processes or activities and investigation of incidents.

- Ongoing liaison with colleagues globally and internal and external stakeholders, including regulators and external audit.

- Maintenance of internal client relationships and regular interaction with the business during the year to asses changes in the control environment and other matters arising in the business.