Senior Audit Manager

3 weeks ago

Dublin, Dublin City, Ireland Cantor Fitzgerald Ireland Ltd Full time

Cantor Fitzgerald Ireland is part of the leading global financial services firm of Cantor Fitzgerald. Cantor Fitzgerald has offices and trading desks in all major financial service centres throughout the world. We specialise in equities, Investment Banking, Real Estate, Fixed Income and Currencies. Cantor Fitzgerald's affiliate businesses include: BGC Group Inc. (BGC), Newmark (NMRK), and GFI Group (GFI). Cantor Fitzgerald Ireland provides a full suite of investment services, primarily wealth management, fund management, debt capital markets and corporate finance. An exciting opportunity has arisen for an Audit Manager to work with our team in Dublin.

Position Overview

The Audit Manager is responsible for:

  • Performing and/or managing the various business, regulatory, compliance and operational audits in accordance with the CFIL Internal Audit Plan and support the Internal Audit risk assessment process.
  • Drafting and/or reviewing detailed audit programs to test internal controls, identify and document findings, and liaise with line management to confirm accuracy of observations and agree upon action plans and ascertain the
    effectiveness of closure of such actions
  • Participate as required as an attendee at CFIL y Risk Committee and CFIL Risk Oversight Committee (RoC) and Audit and Compliance Committee (ACC) meetings.
  • Write and/or review clear, concise and persuasive audit reports and other documents summarizing level of risk, scope, findings, recommendations, and the current status of the issues. It is also expected that this role will direct and participate in special audits or project reviews.
Key Responsibilities

Key deliverables/areas of responsibility in the role:
To lead the IA function in providing CFIL Executive Committee (ExCo) and the Board including, ACC and RoC with an independent assessment on the adequacy and effectiveness of the Firm's processes for controlling its activities and to identify and managing its risks. The Senior Audit Manager for CFIL is expected to work with Group Internal Audit group in accomplishing the following:

  • Perform risk-based audit work, including detailed walkthrough meetings, documentation reviews, and testing of operating design and effectiveness. Validate data and analysis for accuracy in line with the audit strategy.
  • Validate issues with auditees and liaise with management in proposing action plans to address the audit findings. Draft complete audit reports as final deliverables.
  • Ensure audit findings and action points are clearly positioned, with accountable plans demonstrated by a member of ExCo to enable management to resolve in a reasonable timeframe.
  • Ensure that audits are delivered on time and to a high standard.
  • Provide timely feedback to the Head of Internal Audit EMEA on audit progress and deliverables.
  • Utilize relationship management skills to build business relationships with audit clients.
  • Manage and execute special projects as required.
  • Agree the process and approve sign off of agreed IA actions
  • Establish and maintain relationships with key stakeholders within the Firm

Key Contacts and Working Relationships:

  • Liaise as required with the firm's Executive Committee, Front Office, Compliance, Financial Crime, Risk and Operational Functions to ensure a clear understanding of the audit scope, issues raised and action point(s) required to address the findings.
  • CEO of CFIL
  • Head of Internal Audit for Europe and Asia (direct manager)
  • Global Head of Internal Audit (as needed)
Key Qualifications
  • Minimum of 5 years' experience of performing business, regulatory and compliance/ financial/operational audits.
  • Strong analytical and investigation skills.
  • Excellent verbal and written communication skills and an ability to build relationships with audit clients.
  • A mix of Internal Audit, Compliance, Risk Management and/or consulting experience (preferably Big-4) desirable.
  • Be able to lead meetings with management independently or drive the conversation to obtain audit results.
  • Knowledge and/or experience of key regulations such as AML, , MAR, GDPR, MiFID II, SEAR etc.
  • Keeps up to date with industry developments, legislation and regulatory requirements.
  • Self-motivated and able to work independently and as part of a team.
  • Familiarity with MS Office including Word, Excel, PowerPoint, Outlook
  • Experience with automated internal audit workpaper solutions (GRC tools)

Education/ Experience Requirements:

  • Bachelor's degree in Accounting or Finance.
  • One or more certifications (e.g., QFA, LCI, ACA, ACCA, CPA, CIA, CAMS, CISA)
  • Minimum 5 years' prior experience working in audit, compliance and/or risk management function (minimum 3 years in Internal Audit/Public Accounting).

This a CF-2 Designation role under the Central Bank's Fitness & Probity Standards.
CF-2 -Ensuring, controlling or monitoring compliance by a regulated financial service provider with its relevant obligations

Send us your CV, in strictest confidence.

If you are looking for a unique employment experience and are driven to achieve, we want to discuss opportunities with you.

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