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Internal Auditor, Global Advisory (M&A, DCM, ECM Coverage)

Employer
Rothschild
Location
Borough, South East London, United Kingdom
Salary
Competitive Salary
Closing date
Feb 13, 2024

View more

Job Role
Internal Auditor
Sector
Finance
Contract Type
Permanent
Hours
Full Time
About Us

Rothschild & Co is a leading global financial services group with seven generations of family control and a history of over 200 years at the centre of the world's financial markets.

Our expertise, intellectual capital and global network enable us to provide a distinct perspective that makes a meaningful difference to our clients, communities and planet.

We have 4,200 talented specialists on the ground in over 40 countries around the world, enabling us to deliver a unique global perspective across four market-leading business divisions - Global Advisory, Wealth Management, Asset Management and Five Arrows.

As a family-controlled business built on relationships, we place a huge emphasis on our people and finding the right colleagues to take our business forward.

Rothschild & Co is committed to an inclusive and supportive environment where diversity and different perspectives are valued. We are focused on the attraction and recruitment, development and retention and progression of high calibre talent to ensure we and our clients benefit from the value of difference.



Job Title:
Audit Manager, Assistant Director (M&A, ECM, DCM Coverage)

Division: Global Internal Audit



Location:
London

Rothschild & Co

Rothschild & Co is a leading global financial services group with seven generations of family control and a history of over 200 years at the centre of the world's financial markets.

Our expertise, intellectual capital and global network enable us to provide a distinct perspective that makes a meaningful difference to our clients, communities and planet.

We have 4,200 talented specialists on the ground in over 40 countries around the world, enabling us to deliver a unique global perspective across four market-leading business divisions - Global Advisory, Wealth Management, Asset Management and Merchant Banking.

As a family-controlled business built on relationships, we place a huge emphasis on our people and finding the right colleagues to take our business forward.

Rothschild & Co is committed to an inclusive and supportive environment where diversity and different perspectives are valued. We are focused on the attraction and recruitment, development and retention and progression of high calibre talent to ensure we and our clients benefit from the value of difference.

Overview of Role

To lead agreed audits, in line with Internal Audit methodology, of Global Advisory across the Group and Regions. These audits will cover all key risks/processes/controls for Global Advisory (M&A and Strategic Advisory, Debt Advisory and Restructuring, Equity Markets Solutions). Audits should deliver impactful findings and key insights to stakeholders and senior management.

Responsibilities
  • Lead and participate in audit activities including risk assessments, audit planning, audit testing, control evaluation, report drafting, work paper documentation, continuous auditing, continuous monitoring and verification of issue closure.
  • Produce quality deliverables to both department and professional standards while ensuring audits are completed timely and within budget.
  • Partner with colleagues, clients and control community members to develop, evaluate, test and report on the adequacy and effectiveness of the control environment.
  • Build and maintain key relationships with stakeholders, establishing a culture of engagement while adding value by recommending best practice solutions to issues while maintaining independence.
  • Communicate audit findings to management and identify opportunities for improvement in the design and operating effectiveness of key controls.
  • Stay up-to-date with evolving industry/regulatory changes impacting the Global Advisory businesses and participate in appropriate control fora.
  • Find ways to drive efficiency with existing technical infrastructure through automation while embracing the innovative opportunities offered by new technologies.
  • Interrogate and analyse large pools of data through advanced data analytics techniques to drive efficiencies in audit testing and deliver meaningful issues.

Experience, Skills and Competencies Required
  • Proven ability to build strong partnerships with key stakeholders, desire to learn quickly, be flexible and think strategically
  • Proven ability to be able to multi-task and be able to change priorities
  • Works well individually and in teams, shares information, supports colleagues and encourages participation
  • Strong skills in time management, problem solving, written and oral communication
  • Enthusiastic, self-motivated, effective under pressure and willing to take accountability
  • Strong analytical skills particularly with regards to assessing the probability and impact of an internal control weakness
  • Excellent verbal and written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner
  • Be prepared to travel, as needed, to business locations
  • Minimum 7 - 10 years of experience in Internal Audit in Investment Banking
  • Strong knowledge of M&A, ECM and DCM products, as well as experience auditing these products
  • Minimum of a bachelors degree or equivalent
  • Professional accountancy qualification and/or other professional certifications, such as CFIRS, CFA or ACAMS desirable
  • Knowledge of Investment Banking applicable laws and regulatory requirements (e.g. SMCR, MAR, MIFID)
  • French speaker desirable but not essential

Our goal is to have a balanced, inclusive and flexible environment which enables all colleagues to achieve their personal and professional aspirations, and to ensure that Rothschild & Co provides longer term opportunities for talent.

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