Audit Manager - Capital Markets

Location:

Job Summary

The Capital Markets Audit Manager, while under the general direction of senior management, will oversee the completion of the team's portion of the annual audit plan, and provide support during audit projects to project lead and staff. This individual will be responsible for managing audits across a broad range of capital markets activities including, but not limited to, investment banking, equities, fixed income, derivatives, foreign exchange, equity research, market risk and counterparty credit as well as applicable regulatory requirements.

The Audit Manager will be responsible for the performance of their team, including the identification of major obstacles and efficiencies that can be created. As an Audit Manager you will also be responsible for coaching and developing staff members as well as contributing to the overall team initiatives. Additionally, the Audit Manager will be required to assist in the team's ongoing risk intelligence process, strategic initiatives and risk review related trainings.
Responsibilities

• Demonstrate advanced understanding of audit concepts within planning, fieldwork and reporting, as well as workpaper documentation, audit findings, and audit reports.
• Prioritize and execute multiple assignments; identify obstacles within the scope of assignments; proactively communicate delays in assigned deliverables or additional capacity availability; effectively delegate work when necessary; able to adapt to unforeseen challenges and reprioritization of assignments, including the ability to make difficult decisions in a timely manner while including all necessary stakeholders.
• Consistently demonstrate advanced business writing skills and cohesively present information effectively to others including the delivery of audit findings and other audit matters to senior and executive management; Consistently presents and organizes more complex information and adapts message to audience.
• Able to lead or provide oversight on the most complex stand alone and integrated reviews, investigations or ad hoc projects.
• Advanced ability to review audit work to ensure compliance with internal standards while ensuring the work product meets the need of internal and external stakeholders.
• Performs other duties as assigned; duties, responsibilities and/or activities may change or new ones may be assigned at any time with or without notice
• Complies with all KeyBank policies and procedures, including without limitation, acting professionally at all times, conducting business ethically, avoiding conflicts of interest, and acting in the best interests of Key’s clients and Key.

Education Qualifications

• Bachelor's Degree (preferred)
• Master's Degree (preferred)

Experience Qualifications

• 10+ years Audit or Related Experience (preferred)

• Knowledge of wealth management, trust and estate planning, investment management and advisory, and fiduciary services (preferred)

• Knowledge of regulations and standards applicable to asset management including, but not limited to: Regulation 9, SEC, DOL, and ERISA requirements.

Tactical Skills

• Exhibit a foundational understanding of product skills and business, industry and regulatory concepts.
• Develop relationships with clients; thoughtfully engage in networking with those on your team, within the RRG and across Key, to build lasting relationships.
• Demonstrate the ability to perform in an organizational culture of respect and personal accountability regarding Diversity, Equity and Inclusion.

Personal Skills

• Adaptability: Helps others adapt to changing environments and accepting new situations while working effectively with unstructured teams, situations, or environments; leverages prior experience as a help towards handling change and an atmosphere of ambiguity and uncertainty
• Collaboration: Supports a culture of collaboration and implements methods for people to come together to make decisions, solve problems, and develop products/service; establishes shared goals to foster collaboration and ensures everyone can access the same information and provide input
• Critical Thinking: The ability to evaluate past performance for future insights, assess and validate options and predict their impact, and use effective critical thinking approaches, such as consulting, commanding, or obtaining consensus
• Decision Making: The ability to seek input from various sources and communicate decisions confidently and resolutely while remaining steadfast in championing decisions that later come under scrutiny
• Emotional Intelligence: Describes the concepts and underlying tenets of emotional intelligence (EI) as a skill and cites examples as to the impact of EI on business results

Practical Skills

• Storytelling: Describes storytelling techniques, concepts, and potential benefits
• Oral & Written Communication: Develops a clear, complete understanding of needs and problems through careful listening, probing, reflecting, and summarizing; conducts discussions that are sincere and fully expressed
• Data Analysis: Researches business-related data, analyzes, interprets, and presents findings utilizing designated data analysis software
• Change Navigation: Introduces change initiatives that target continuous improvement of significant organizational capabilities and implements strategies for renewing or deepening change efforts
• Analytical Thinking: Identifies any possible causes for a problem based on prior experience and current research; seeks discrepancies and inconsistencies in available information and explains variances

Core Competencies

• All KeyBank employees are expected to demonstrate Key’s Values and sustain proficiency in identified Leadership Competencies.

Physical Demands

• General Office - Prolonged sitting, ability to communicate face to face in person or on the phone with teammates and clients, frequent use of PC/laptop, occasional lifting/pushing/pulling of backpacks, computer bags up to 10 lbs.

This position is NOT eligible for employment visa sponsorship for non-U.S. citizens.

COMPENSATION AND BENEFITS

Please click here for a list of benefits for which this position is eligible.

Key has implemented an approach to employee workspaces which prioritizes in-office presence, while providing flexible options in circumstances where roles can be performed effectively in a mobile environment.

Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing [email protected].

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