- Leading S&E Audits in EMEA remotely by coordinating the audit team, participating in walkthroughs, testing applicable controls, and ultimately concluding on design and operating effectiveness
- Support the AFC ROM PAM by regularly reporting on the status of the audit coverage and timely escalate any delays or coverage gaps, if required
- Draft exceptions/findings as a result of audit testing, under the supervision of the audit lead
- Keep abreast of regulatory and audit related developments in the industry and ensure effective communication to enhance regulatory knowledge throughout the wider GA team.
- Engage in Continuous Audit Assessment process to understand AFC business developments.
- Escalate key emerging risks to senior management through the AFC ROM PAM - such as ad hoc communications, monthly/quarterly control reports, and management meetings.
- Build strategic relationships internally and externally to enhance the department's performance and maximize stakeholder support for the department.
- Where necessary, challenge stakeholders (both within GA and across the wider firm) with the support of AFC ROM PAM to ensure that GA maintains the highest standard of professional practice, and to ensure that the firm fulfils its regulatory requirements.
- Act as a role model by being proactive and support the team and broader department
- Bachelor's degree in Accounting, Finance or related discipline. Advanced Degree (e.g., Masters, Juris Doctor) and professional certification (e.g., CPA, CIA, CAMS, CFE, etc.) preferred.
- A minimum of five years of experience of working in an audit function or second line funcion within the financial services industry, with experience on working in audit assignments within a fast-paced business environment.
- Good knowledge of S&E regulatory requirements, and a thorough understanding of the AFC risk and control environment within the financial services industry.
- Experience of dealing directly with stakeholders would be an advantage.
- Demonstrated experience in proactively building meaningful relationships.
- Excellent verbal and written communication skills, with the ability to articulate issues/data simply and clearly.
- Strong analytical skills. Used to work against deadlines, and multi-tasking
- Active management capability in order to drive the contractor team.
- A proven role model with excellent leadership capabilities and personal integrity, able to work with a world wide team, and demonstrating the highest professional and ethical standards in all aspects of their work.
- An excellent collaborator and communicator, able t
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Lead Principal Auditor - Comunidad de Madrid, España - Deutsche Bank
Descripción
Lead Principal Auditor - S&E Europe:
Job ID:
R0267861Full/Part-Time:Full-timeRegular/Temporary:RegularListed:
Location:
Madrid
Position Overview:
Job Title:
Auditor, AFC Remediation & Obligation Management
Corporate Title:
Assistant Vice President
Department:
Group Audit
Location:
Madrid
Group Audit
The Group Audit (GA) function comprises over 600 staff located in our four hub locations New York, London, Frankfurt, Singapore and 26 other countries across the globe.
The function is a professional, business focused, proactive risk-based global audit team that operates with transparency, integrity and independence, and assists the Bank's business and infrastructure areas to identify key control weaknesses.
The function provides a systematic, disciplined approach to examine, evaluate and report objectively on the adequacy of both the design and operating effectiveness of the systems of internal control and the effectiveness of risk management and governance processes.
Being Deutsche Bank's 'third line of defense' we have a high profile in the Bank acting as an independent and forward looking challenger and adviser to Senior Management and are increasingly relied upon by the Regulators.
Our global connectivity provides a stimulating environment and the opportunity to collaborate, network and share knowledge with intelligent colleagues and specialists around the world.
Our colleagues are known for their agile minds, looking beyond the obvious, and challenging the status-quo in an open-minded, collaborative way.
We consistently invest in our people, offering genuine opportunities for development and advancement.Overview of the team
The role reports to the Principal Audit Manager (PAM) for Anti-Financial Crime Remediation & Obligation Management (AFC ROM) in Bonn, who in turn reports to the Head of GA AFC Remediation & Obligation Management based in Frankfurt and Chief Auditor for AFC based in New York.
The Principal Auditor is responsible for leading audits and supporting the AFC ROM PAM on the Audit Plan delivery and validation of internal and external Findings.
The core responsibilities of the role are: