Internal Auditor (Financial Services Background Essential)
- Recruiter
- Alexander Hancock Ltd
- Location
- Manchester, Greater Manchester
- Salary
- £25,000
- Posted
- 15 Apr 2016
- Closes
- 13 May 2016
- Ref
- 5631
- Contract Type
- Permanent
- Hours
- Full Time
Our client , investment management/stockbroking industry, is looking to recruit an internal auditor with experience from within the securities industry and a sound understanding of FCA Regulatory processes together with a high level of competency in Excel, Project and Visio to evaluate and provide assurances on the effectiveness of governance, risk management and control processes throughout the organisation and to report on these to senior management to ensure compliance with the firms strategic objectives, plans and policies and procedures.
Main Tasks and Duties:
- Conduct business reviews to a competent standard against the audit plan
- Conduct ad hoc audit reviews as and when necessary
- Develop work programmes to record questions to be asked through to recording results and risks against audit engagement objectives.
- Sample testing of key controls during reviews to determine whether they are operating effectively
- Produce written Internal Audit reports to a high standard, clearly documenting the main controls, identifying control or processes weaknesses, proposing value-added recommendations and providing evidential support for report recommendations.
- Present the findings, recommendations and conclusions of audit reviews to senior management
- Collate and file evidence from audit reviews, ensuring relevant information to support the conclusions and results of the audit are documented
- Prepare recommendations to management, considering materiality, pertinence and documentary evidence.
- Chase up outstanding recommendations and follow up and testing of actions implemented.
- Establish and maintain a follow-up process to monitor and ensure that management actions have been effectively implemented.
- Create and update Internal Audit KPI’s for Board and Audit Committee reports
- Escalate risks and control issues to the Head of Internal Audit and Risk where appropriate.
Essential Skills
- In depth understanding of the securities industry.
- Sound knowledge of the FCA Regulatory environment.
- Fully competent in using Microsoft Office packages specifically Excel, Project and Visio.