Job Details

Lead Auditor- Capital Markets

Company name
Sovereign Bank

New York City, NY

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Lead Auditor- Capital Markets','1709178','!*!The audit group is

organized into the following specialty teams: Financial and Accounting Risk, Operational

Risk, Compliance Risk, Credit Risk (loan review), CCAR, Capital Markets and

Information Technology Risk. This position is specific to the Capital Markets

Internal Audit team. 

The Lead Internal Auditor is responsible for executing internal audits of

business units, financial reports, key processes, computer systems and

significant transactions of the Bank to determine adequacy of the control

structure, mitigation of risks and effectiveness and efficiency of operating

processes. Responsibilities:

Examines business records and collects information

Exercises independent judgment in identifying issues

and assessing risk

Formulates findings, prepares executive summary reports

and reviews findings with line management and senior management

Evaluates the effectiveness of controls in automated

systems and performs automated data analysis to support the overall audit


Participates in designing audit procedures that test

the effectiveness of internal controls

Provides consistent quality customer service to both

internal and external customers that meets or exceeds bank standards

Assigns staff to complete specific audit procedures or


Assists in performance of risk assessment of business

operations and processes

Conducts post-audit follow-up to appraise adequacy of

corrective action taken to improve deficient conditions

Participates in completing specific audit procedures

and/or projects

Plans, performs and supervises audit fieldwork

Prepares a draft of the report and recommendations to

be presented to the Audit Manager

Presents and discusses audit findings as well as draft

of recommendations with Bank Management

Executes internal audits of business units: Responsible

for conducting independent financial, compliance or credit reviews

Assesses quality, risk, compliance within established

underwriting policies or other policies and procedures

At Santander, we value and respect differences in our workforce and strive to increase the diversity of our teams. We encourage everyone to apply.','!*!Bachelor's Degree in Accounting, Finance or Business related field, advanced degree preferredAt least 5 years of audit experience in a financial institution; supervisory experienceCPA, CIA or related designation preferredGood understanding of products and services

across Global MarketsSolid understanding of AML and Compliance

risksFamiliarity with FINRA and related

broker/dealer regulationsPrior exposure to credit risk reviews is

desirableAbility to quickly learn new information technologies and systems in order to evaluate controlsEffective verbal and written communication skillsExcellent analytical and problem solving skills; Excellent interpersonal skillsStrong technology and computer skills','Auditing','New York-New York','','Full-time','Dec 12, 2017','','false','Lead Auditor- Capital Markets

Company info

Sovereign Bank
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Company Profile
Access our current and historical news, and learn about our investment in our communities and our history. At Sovereign Bank, we are committed to:

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