This is a exciting new opportunity for an experienced Audit Manager to join our GmbH team in Frankfurt. Within this role you will to be a key interface with external professional services in a co-sourced internal audit model.
Key tasks and responsibilities
1. Effectively and efficiently perform the Internal Audit function for CMC Markets Germany GmbH, including all its branches in Europe, covering all business activities across the region
2. Audit planning based on a risk-oriented assessment
3. Execution of audit activities according to the approved audit plan
4. Execution of event- or risk-driven audits as and when needed
5. Audit Reporting
6. Follow-up and tracking of findings and recommendations
7. Management Reporting
8. Coordination of all external audit impacting CMC Markets Germany GmbH (regulatory, statutory, investor protection, tax audit, pension audits and special investigations), includingManagement and upload of audit requestsContinuous dialogue with external audit firmsReview of external audit reportsDevelopment and maintenance of action plansFollow up and tracking of remediation activitiesReporting
9. Ensure the continued development of documentation, including policies, procedures and frameworks in line with the changing regulatory environment
10. Respond to regulatory queries/requests and consultation papers as they apply
11. Representation of audit in internal and external committees and panels
12. Maintain and promote communication and strong working relationships with key stakeholders, across CMC Markets Germany GmbH as well as Europe and UK / the Group
13. Provide a strong lead in the proactive support of the risk process within the region to identify, assess, treat, report; monitor risks promoting a strong risk culture
14. Provide guidance and support to stakeholders on audit-related areas
15. Undertake such other duties, training and/or hours of work as may be reasonably required and which are consistent with the general level of responsibility of this role
16. Provide sufficient management information to local and Group management bodies
17. Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training
Key Skills & Requirements:
18. At least 5 years post qualification experience working in financial services or banking, within Third Line Internal Audit or Second Line Risk or Compliance Monitoring
19. Fluency in English and good knowledge of German language.
20. Proven track record in leading and delivering risk-based projects
21. Good understanding knowledge of audit methodologies
22. Good knowledge of global regulation and key areas of regulatory focus from regional regulators including BaFin, Bundesbank, ESMA and EBA
23. Proven record of strong communication skills and influencing skills.
24. Confident in written and verbal communicating with stakeholders both internal and external
25. Ideally educated to degree level or equivalent professional experience and have completed a recognised relevant post-graduate qualification (e.g. CIMA, CMIIA, ACA, ACCA), but not essential.
CMC Markets Germany GmbH reserves the right to review, alter and amend job descriptions from time to time in line with business requirements