Internal Auditor

Business Internal Auditor – Investment Banking

Your role:

The primary objective of Internal Audit is to provide an independent, objective assurance to DCME’s Audit and Risk Committee and through them to DCME’s Board of Directors, that the internal control environment of the DCME Group is appropriate and operating satisfactorily. The secondary objective is to provide independent and objective review that helps Management to improve its performance by enhancing business and operational processes and systems.

This post holder reports to the EMEA Internal Audit Supervisor.

The principal duties include:

• Deliver / lead assigned audits in the Internal Audit annual audit plan covering the EMEA region.
• Perform audit testing of the design and operational effectiveness of DCME’s internal controls, including policies, procedures and processes relating to the Firm’s risk, compliance and regulations on assigned audits.
• Oversee assigned audit subject matter expert or outsourced review where required.
• Perform risk related business and functional/ thematic Internal Audit reviews.
• Complete all relevant planning and field work for assigned audits (using risk-based audit system and techniques as appropriate).
• Fully own writing and debrief of audit reports.
• Perform issue follow‑up.
• Perform assigned Continuous Business Monitoring and related risk assessments, which includes relationship management with the business and support areas.
• Perform management requested / ad hoc IA projects and review work where required.

Skills and Experience needed:

• Ability to work fully independently in delivering assigned audit reviews from planning through to reporting.
• Very good knowledge and experience of auditing capital markets activities, across asset classes, as well as relevant support and second line functions.
• Experience performing front to back audit reviews and themed audits, and being comfortable with all aspects of such audits.
• Ability to perform audit issue follow up and relationship management with stakeholders.
• Experience with data analytics in internal audit, strong understanding the application of data analytics and visualisation concepts, and leading on expected analytics on markets audits.
• Experience working with Internal Audit Management Software.

Qualifications:

• Seven to ten years Financial Services Internal Audit experience with good coverage of capital markets.
• Experience leading and delivering audits independently, at least five years.
• Experience applying data analytics in audit and leading in formulating data analytics strategies for audits. This will include experience with data analysis and visualisation tools such as Alteryx, Python, PowerBI etc.
• Relevant business/finance qualifications- e.g. Degree or relevant post graduate qualifications and
• Professional qualifications such as CFA, CA, CIA etc will be an added bonus

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