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As a Global Assurance Director, you are responsible for leading the assessment of risk within a focused CME Group functional area, including cash markets, optimisation (post trade services) operations, compliance, finance, regulatory reporting etc. Reporting to the Audit Senior Director for the International Business, the Audit Director has accountability in overseeing the management of audits allocated, risk assessments, and consulting (advisory) projects to provide reasonable assurance to the Senior Leadership Team and support Audit Committee reporting regarding the existence and effectiveness of internal controls. The role is also responsible for managing GA's response to various regulatory requests and examinations, including those from the CTFC, FCA, ESMA, AMF, SEC or NFA relating to financial regulations including MiFID II, MiFIR, EMIR, Anti-Money Laundering and ICAAP.
The applicant must have a good understanding of the role of an exchange operator. This position requires strong broker dealer/investment banking audit experience with technical knowledge as it pertains to the regulated financial industry. The role will require the successful candidate to take ownership of individual audits, execute underlying audit work and, where applicable, manage relationships and people on the audit assignments either from within GA or from the co-sourced external partner. As a people leader, you will support GA's mentorship programme to effectively execute the audit plan with a high level of quality, while ensuring approaches to the management of people are consistent with GA's culture, mission, and vision.
• Serve as a strategic member of the GAMT (GA management team), driving execution of the department's audit plan, goals, and Audit Committee's (AC) priorities.
• Own the annual Risk Assessment process and audit plan for your assigned CME business processes and functions; maintain a dynamic, risk-based audit universe, including ongoing risk assessment and identification of prioritization among auditable entities based on company and AC strategic priorities.
• Facilitate hiring, acclimation, and training of GA team members, including consultants and (on and offshore) co-source partners; support the management of contract relationships.
• Establish and manage a collaborative relationship with CME Senior Leaders within the assigned business processes to identify and mitigate risk to the enterprise.
• Ensure each audit assignment is effectively planned, executed, and reported upon. Where relevant, this will include ensuring that you/your team of Auditors designs audits to evaluate the adequacy and effectiveness of internal controls, verify compliance with corporate policies and procedures, and identify operating efficiency and cost reduction opportunities.
• Attend enterprise-level forums as a delegate for the Senior Director (e.g., Risk Management Team, Disclosure, SOX, Compliance/Ethics Team, Steering Committees of major projects or initiatives, etc.).
• Assist Senior Director in responding to regulatory requests, preparing for regulatory exams, and presenting GA process and results to regulators.
• Assist GA in developing best practices and standards.
Skills and Software Requirements:
- ICAEW, CA, CPA, CIA, CFE, CISA, CISSP, Chartered Accountant or relevant certification required
- 8-10 years investment banking audit experience - ideally across cash markets, FX, Treasury and derivatives. Must have knowledge of the role of an exchange operator and how these products are traded and settled including regulatory and compliance requirements
- Demonstrable record of completing risk assessments, audit planning, execution and reporting
- Must be a self-starter, a team player and have experience in managing a small team of auditors to complete assignments
- Must have excellent communication and reporting writing skills
- Understanding of various governance frameworks and standards such as COBIT, ISO, NIST, COSO would be helpful
- Proficiency with Microsoft Office applications
- Experience with data analysis tools e.g., Tableau, QlikView, Business Objects
- Experience with GRC systems (e.g., Archer), or similar electronic workpaper management tool.