Lead Capital Market Senior Consultant Job in Nationwide

Lead Capital Market Senior Consultant Job in Nationwide. Apply for the latest Nationwide jobs in Accounting/Financial/Insurance.

Lead Capital Market Senior Consultant Job in Nationwide

Job Description
Overall Job Purpose

This role sits in the Financial Services Risk Assurance (FSRA) team, which is part of the wider Risk Assurance Services faculty.

The role-holder will support the senior management team in the day to day delivery of internal audit and wider risk assurance services to a portfolio of financial services clients

The activities will require the individual to travel in the UK and overseas in accordance with our COVID-19 risk assessments.

The role-holder will be a strong ambassador for the RSM brand, promoting brand awareness and upholding high ethical standards of business that protect the brand, the UK firm, its staff and its clients.

Client Delivery – Lead Internal Audit

Overseeing and lead the delivery of client work as part of the engagement delivery team client engagements:

Supporting the partners and directors developing internal audit (IA) strategies and internal audit plans for clients by way of development of IA risk registers, assessment of key risks, controls and the impact and understanding of the specific FS sector risk profile;

Planning and agreeing engagement scopes with clients based upon the client’s agreed internal audit plan;

Lead and manage the execution of the agreed risk and controls testing work programme including assessing the design of control, testing of controls and substantive/outcome testing; development of detailed and clear IA issues with clear identification of the issues that need addressing and clear management actions;

It is expecting that the lead auditor should be able to identify the root causes of issues that need to be addressed to enhance the control environment and/or mitigating and controlling the risks that the business faces; understanding the root causes of issues to help and support the business in finding potential solutions and benefits that are much more beyond solely addressing “symptoms” of issues;

Develop and present high quality and well written the executive summaries, background sections, issues and recommendations quality assurance over the audit work performed

overseeing and manage IA work by team members

approval of work in line with professional standards and mandated delegated authorities.

effective stakeholder engagement and relationship management at clients and internally;

Completion of ARU’s, strategies and audit opinions.

Financial

Supporting the senior team in

* Onboarding new clients, devising fees and appropriate budgets

* Manage internal audit contracts in line with the agree budgets

* Billing, invoicing and recovery management

* Contribution to business development

Contribute to:

Support in targeting and marketing

Identification of personal referrals

Cross referral of opportunities to other service lines and disciplines

Playing full role in FS sector groups and initiatives

Joint targeting with other service lines.

Professional and Technical requirements

Extensive practical experience of working in an equivalent position in a professional services firm or large financial service IA in-house function within industry.

Technically proficient in executing and leading audits in accordance with IIA standards and the standards on effective audit in financial services, and deep knowledge and understanding of IA risk registers and controls assessment across several of the following areas, such as:

FS business knowledge:

The role holder will have extensive experience of working in different financial services sectors, including Investment banking – Equities, Debt, Commodities, FX, Corporate Finance, and Research

Retail Banking including deposit, saving and lending products

Commercial Banking

Investment Management

Asset and Fund Management

Securities, broker/dealers and Prop traders

Alternative Finance / Lending

Insurance and re-insurance

​Internal Audit Areas:

* Corporate Governance

* Compliance management

* Risk management

* FS Business e.g. Mortgage Sales,

* Financial services operations

* Human Resources

* Finance Management

Regulatory Knowledge:

* Prudential Risk management

* Regulatory reporting (COREP/FINREP)

* CRD IV

* Recovery & Resolution Planning (RRP)

* ICAAP and Pillar 3 reporting

* MIFID II

Governance and Management

* Senior Managers & Certification Regime

* Conduct Risk Management

* FCA Systems and Controls – especially in relation to Compliance and Risk Management Frameworks

Other

* Client Money and Assets (CASS)

* Financial Crime

Individual Specification

* Audit / Assurance qualification eg ACA, CIIA et al

* Team player

* Dynamic, ambitious, proactive and resilient

* Excellent interpersonal and stakeholder management skills

* High standard of written and verbal communication

Flexible Working

At RSM we work hard to create an environment where our people can make a difference – to themselves, their career, their teams, and to the success of our firm and clients. We support all our people to work flexibly, to manage their family and other responsibilities alongside their work commitments; we believe this is key to achieving an inspiring and fulfilling working environment.

Diversity and Inclusion at RSM

At RSM, inclusion and diversity are central to our values. We have an authentic focus on intentional inclusion, enabling our people to feel they can bring their whole self to work and ensuring everyone feels supported, respected and confident to make a valuable contribution.

To find out more, please visit our Diversity and Inclusion page on our Careers Website

Job Type: Permanent, Full Time
Location: Nationwide
Category: Accounting/Financial/Insurance
City:
County:
Country: United Kingdom
Salary:
Benefits: