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Job Opportunity

Capital Markets Internal Auditor - Analyst

Capital Markets Internal Auditor - Analyst-1900080


The primary function of the Sr. Auditor is to execute more complex audit testing as part of internal audit reviews and activities and provide support to the less experienced team members. The Sr. Auditor must perform testing in a timely manner, ensuring all audit quality and client relation standards are met, and courteous and professional behavior is observed in all situations.
The position will include responsibility for assisting in the execution of audits within the capital markets (Santander Investment Securities - SIS) area.  Within the capital markets space at SIS, the current product mix includes, but is not limited to, the following customer facilitation (flow) trading desks: Money Markets; Foreign Exchange; LATAM Equities; and Fixed Income.
Key responsibilities include developing and executing a robust risk and control matrix for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Santander policies. Assesses quality, risk, and compliance within the capital markets activities.
The primary function of the Associate Director, Audit is to provide leadership to the internal audit team, lead the execution of the risk-based Internal Audit Plan the area under its responsibility and assist the Director in the execution of key audit processes. The Associate Director ensures the audit program is executed in a timely manner, ensuring all audit quality and adequate communication with all key stakeholders. 
Associate Director will support the Audit Director in delivering audit plan for portfolio of audits covering Rates, Currencies, Equities, ECM/DCM, and Futures desks. Solid knowledge of broker/dealer operations and experience with Global Corporate Banking suite of products (such as trade finance, syndicated loans, supply chain financing) is highly desirable.   Solid knowledge of FINRA, SEC, BSA/AML, and other key regulations are essential. Associate Director is responsible for day-to-day supervision of portfolio of audits and assigned staff members, and must manage resources effectively in relations to portfolio of audits. Ensure adherence to quality standards and timely delivery of audit reports. Additional responsibilities include assisting in the review of relevant regulations, risk management policies, validating remediation to issues or recommendations raised by regulators or Internal Audit, and monitoring process enhancement.
Associate Director will support the Audit Director in development of annual audit plan and risk assessments, on-going business monitoring through committee attendance, coaching and development of staff, providing on-going feedback on performance, maintaining positive relations with stakeholders, business partners, external auditors, and regulatory bodies.


Additional Responsibilities:
-Starts to obtain and develop an understanding of the business.
-Examines business records and collects information, exercises independent judgment in identifying issues and assessing risk as well as formulates findings and presents the results to the relevant audit team member.
-Executes control design and operating effectiveness testing over higher complexity areas as part of internal audit reviews and activities.
-Conducts post-audit higher complexity follow-up tasks to appraise adequacy of corrective action taken by management to address audit recommendations.
-Documents audit testing and follow-up tasks in accordance to relevant audit standards.
-Attends professional training actions provided by the company.
-Provides consistent quality service to both internal and external stakeholders that meets the company’s standards.
-Analytical and problem solving skills as well as the ability to work independently.
-Technology and computer skills, with the ability to effectively use Microsoft Office (Word, Excel, Outlook, Powerpoint)
-Detail oriented with organizational skills
-Verbal and written communication skills.
Employees desiring consideration should complete an online application, utilizing the appropriate process as subscribed by the posting entity. Employees should provide all pertinent information to support their candidacy.
To be considered eligible for internal posting, Santander employees must meet all of the following eligibility requirements:
  • Completion of at least one year of active service in Santander
  • Be in “Good Standing”   
At Santander, we value and respect differences in our workforce and strive to increase the diversity of our teams. We encourage everyone to apply.


:Business Audit

Primary Location

:New York-New York-45 East 53rd Street - 06547 - NY Corp


:NY SIS (T5700)



Job Posting

:Feb 1, 2019, 2:08:34 PM


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