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Corporate & Investment Bank- Audit, Investor Services, Audit Manager, VP- London

Job Description

Position Summary


This position is within the EMEA CIB Audit team providing audit coverage of Investor Services.  The successful candidate will be based in either Bournemouth or London and will be part of the team which executes the regional Investor Services audit plan. 

The Investor Services business is a premier securities servicing provider that helps institutional investors, alternative asset managers, broker dealers and equity issuers optimize efficiency, mitigate risk and enhance revenue. With approx. $19 trillion in assets under custody, it leverages the firm's global scale, leading technology and deep industry expertise to service investments around the world.


J.P.Morgan’s Internal Audit Department


The Internal Audit Department provides the Board of Directors, senior management and regulators with an independent assessment of JP Morgan Chase's (‘JPMC’) control environment. Audit works closely with the Lines of Business(‘LOBs’) and their support functions to achieve its mission through the execution of a comprehensive audit program designed to test the effectiveness of the controls in place to mitigate the risks inherent in each business. The department is respected throughout the firm for the calibre of the staff and their ability to add value beyond the audit opinion. Globally, Internal Audit has in excess of 800 auditors.
Role Description and Key Responsibilities :


As an Investor Services Auditor you will be responsible for risk assessment, control identification, development of audit testing, and completion of audit work across EMEA covering Custody, Fund Services, Alternatives, Agency Lending and ACCE products.  The individual must be an experienced professional who possesses good project management skills, strong relationship management capabilities and is knowledgeable of the operational control and fiduciary risks which exist in Investment Banking businesses in general.
The role responsibilities include:


• Plan, execute and document audits with limited supervision in a risk focused manner and to a high standard in accordance with department and professional standards
• Evaluate, test and report on the adequacy and effectiveness of the control environment
• Analyse risks and proactively identify the root cause of issues
• Finalise audit findings and use judgment to provide an overall opinion on the control environment
• Communicate audit results and issues in a clear and concise manner, both verbally and in writing
• Implement and execute an effective program of continuous monitoring for assigned areas.  This includes monitoring of key metrics to identify control issues and adverse trends in the control environment and keeping abreast of key initiatives and pertinent industry and regulatory developments
• Build and maintain key relationships with stakeholders and colleagues, establishing a culture of engagement while adding value, effective teamwork and innovative thinking
• Disseminate best practice and regulatory requirements. Critically assess the impact of evolving industry and regulatory changes on the business and its control environment
• Travel to overseas business locations as required, approximately 20-30 per cent should be anticipated.


Core Competencies:


• Business and Industry Knowledge – Knowledge and experience of Investor Services products, including custody and fund administration.  Ideally this experience will be from an audit or risk perspective, with coverage of operational, regulatory and fiduciary risk. 
• Methodology& Analytical Skills – detailed understanding of internal control and risk assessment concepts and strong analytical skills to assess the impact of control weaknesses
• Execution - Strong execution skills, ability to work independently with limited supervision and multi-task. Works well individually and in teams, shares information, and supports colleagues.
• Communication- Strong verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner.  Ability to create strong stakeholder relationships that promote transparency and open dialogue around control issues
• Leadership- Ability to assess priorities and adapt to a changing environment, organize and lead resources, monitor progress and timely deliver a high quality end product. Enthusiastic, self motivated, effective under pressure
• Accountability– proven ability to take the initiative in developing the scope and execution of audits/ projects. Seeks ways to increase efficiency and effectiveness of work performed and resources utilized. Willing to take personal responsibility/accountability


• Education to degree standard (or equivalent)

• Recognized accountancy/audit professional qualification is desirable

All internal moves will normally take place on the same grade and same salary. Salaries are reviewed annually in February. Exceptions to the rule regarding transfer on current salary may include a move between geographic locations.

Req #: 160022211
Location: London, ENG GB
Job Category: Accounting/Finance/Audit/Risk
Employment Type: Full Time
Potential Referral Amount: Pound Sterling (GBP)

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