AWM Auditor

Exp- 5-6 years

NP immediate 2months

Location Hyderabad

Shift 3pm 12 am/ 4pm 1 am

Position Summary

This role will be responsible for conducting internal audit activities that assess risks and controls in Ireland s wealth management business and potentially in the wider Asset Management business of Cantor Fitzgerald group. The ideal candidate will have a proven record of audit execution in accordance with IIA standards and a good familiarity and hands on experience with key regulations in Ireland.

Major Responsibilities:

• Perform audit work assigned according to the standards of Internal Audit s (IA) risk-based methodology.


• Design effective and efficient tests of key controls or processes to assess risks, validate the adequacy of design and operating effectiveness of key controls.


• Design and execute substantive testing, including data analysis.


• Perform and document audit work and conclude on the audit tests results.


• Identify, assess and report on all key risks and compliance issues/ breaches in the area audited.


• Review and tests management actions taken by Business to remediate issues and deficiencies.


• Draft clear, concise, and well-supported audit findings in the working paper and audit tool.


• Work with the audit team and internal management to communicate issues or delays that may arise throughout the audit.


• Perform validation of management actions and documentation of action closure, including follow up with action owners when needed.


• Develop a thorough understanding of audits and assigned functions, including technology, products, organizational activities and systems.


• Execute special or ad-hoc projects as requested.

Key Contacts and Working Relationships:

• Establish and maintain relationships with key stakeholders within the Firm.


• Liaise with Front Office, Middle Office, Compliance, Risk and Support Functions to ensure clear understanding of the audit scope, issues raised, and action point required to address the findings.


• IA Audit Lead, IA Director, Head of Internal Audit for EMEA/ APAC, Global Head of Internal Audit (as needed).

Skills:

• Approximately 5 or more years of experience in asset management/ financial services (wealth management preferred) including experience in performing operational, regulatory, compliance, financial audits.


• Familiarity of relevant regulatory framework and requirements in Ireland (MiFID II/ MiFIR, Investment Firms Regulation, Consumer Protection Code, Client Asset Requirement etc. ).


• Strong analytical and project management skills, ability to prioritise and multi-tasked when needed.


• Effective communication skills (verbal and written) and interpersonal skills as well as interest in developing to succeeding roles in IA.


• Motivated with proven ability to research, interpret and apply regulatory requirements.


• Ability to build strong working relationships with peers, staff and relevant stakeholders.


• Strong familiarity with MS Office including Word, Excel, PowerPoint, Outlook.


• Self-motivated and able to work independently and as part of a team.

Education/ Experience Requirements:

• Bachelor s degree in accounting, finance or any business-related area preferred.


• CIA, CPA, ACA, CA, ACCA, CFA or other similar certification preferred.