Internal Auditor

Duties and Responsibilities:

 

? Conduct audit missions of every function within the broker-dealer and the branch using a risk-based approach.  Audit missions will include, but not be limited to, Institutional Trading, Research, Brokerage Services, Corporate Lending Desks, Risk Management, Compliance, Operations, and Finance.

? Review and evaluate the effectiveness of the existing internal control structure, systems, and procedures to ensure that they are consistent with the group?s requirements, regulatory guidelines, and industry best practices.

? Perform special investigations for management, when required.? Documentation of Audit Work-papers, which provide details of audit sampling techniques, procedural flow charts, audit findings, including observations of sound processes and weaknesses, and recommended corrective action.

? Create an Audit Report that is consistent with Head Office Guidelines and accurately reflects the nature and scope, and the results, of the audit mission to local management and head office. 

? Prepare and modify Audit Work Programs to ensure that they are consistent with the US Group?s activities, regulatory guidelines, and industry best practices.

? Liaise with local regulatory examiners to ensure that all of their requirements with respect to their examinations, including the compilation of information with respect to the Entry Day, and/or First Day, Letter, are met with little or no exceptions.

? Liaise with external auditors to achieve a common goal of optimal audit coverage without duplication of work.