AVP Capital Markets Auditor

  • Competitive Base & Bonus
  • New York, NY, USA New York NY US
  • Permanent, Full time
  • Ashton Lane Group
  • 16 Jul 18 2018-07-16

Supporting the internal audit of a global investment bank


  • Perform risk-based audit reviews and recommending solutions to identified issues and problems within the organization
  • Develop clear and concise risk/control matrices and audit programs and analyze business processes, procedures, and risks and evaluating the internal controls
  • Manage time and priorities while performing the audit reviews.
  • Employ analytical skills to analyze activities and processes using the Audit Methodology and Tools.
  • Validate the quality and reliability of the findings and deliverables.
  • Add value to the Business by raising relevant recommendations.
  • Write excellent quality reports with appropriate recommendations.
  • Deliver clear presentations to Senior Management and Internal Audit Management.
  • Ensure timely follow-up of audit recommendations.
  • Improve personal and professional development by keeping up-to-date with changes in financial services and products, regulations, and attending training courses/sitting exams.


  • 3+ years of relevant Audit or transferable experience with a focus on Capital Markets
  • A strong understanding of the relevant risks and controls in areas such as Trading, Origination, Distribution, Sales, Order Management and Trade Execution, Compliance, Risk Management and Operations.
  • Knowledge of Dodd-Frank including Volcker Rules, and Liquidity measures
  • Excellent writing, verbal and interpersonal skills
  • BS/BA (Finance and/or Accounting preferred). CPA/CIA preferred

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

Ashton Lane Group® “A trusted advisor throughout your career”