Assistant Audit Manager

Overview
Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics.
The Audit team is a global function with a presence in UK, North America, France, and Singapore.
Role Summary
Provides advice and influence change to improve Marex Group plc (“Marex”)’s corporate governance, risk management practice and internal control environment.
Through the Group Head of Internal Audit provides assurance to the Board, on the adequacy, effectiveness and efficiency of the Marex internal control environment.
Support the delivery of the corporate priorities of Marex, as set out in the business plan. Increase internal and external confidence in the Marex business and brand.
Overall Responsibilities
Manages business audit aspects of the internal audit function in Marex providing effective governance within the three lines of defense framework.
Implements and reviews business and risk management process and the effectiveness of the internal control environment, recommends and promotes improvements.
Promote internal audit and Marex in general to the wider community through direct contact and external and internal interactions.
Contribute to the strategic development of the internal audit function of Marex and to the Marex business in general and business audit function in particular.
Leads the review and evaluation of business services within Marex and advises and influence management to take steps to increase the effectiveness of risk mitigation.
With the Group Head of Internal Audit conducts an annual audit risk assessment to determine audit need and prioritize those key risks for review within all APAC locations and business units.
With the Group Head of Internal Audit creates, develops and implements a three-year strategic internal audit plan for reviewing key risks across all Marex business units. Provide the required level of assurance to the Board, senior management and other stakeholders.
Plan and deliver the annual work program for Marex with the Group Head of Audit
Manage projects effectively and ensure professional standards and key performance targets are met.
Contribute to the development of Marex standards and procedures, reviewing the effectiveness of any internal functions within Marex.
Advise and influence the Board and senior management within Marex to take appropriate steps to strengthen the governance, risk management and the internal control environment.
Through the Group Head of Internal Audit – report to the Marex Board and senior management and the Audit and Compliance Committee on the internal audit function work program.
Research, promote, implement and contribute to electronic work paper and risk assessment tool for the Marex internal audit function.
Ensuring compliance with the company’s regulatory requirements under the MAS, SFC, ASIC, FCA, NFA, AMF, or any other relevant regulating body.
Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
At all times complying with Marex’s Code of Conduct
To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility
To report any breaches of policy to Compliance and/ or your supervisor as required
To escalate risk events immediately
To provide input to risk management processes, as required.
The Company may require you to carry out other duties from time to time
Competencies, Skills and Experience
Appropriate personal qualities and credibility necessary to operate effectively within Marex. Interaction with Senior Executives is to be anticipated.
Excellent oral and written communication skills.
Excellent inter-personal skills.
Understanding of risk management and the ability to communicate same
Seeks to add value to the business
A collaborative team player, approachable, self-efficient and influences a positive work environment
Resilient in a challenging, fast-paced environment
Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness
Skills and Experience
Three years’ experience* as an Audit practitioner or assurance provider in a financial services organization(s) or Practice firm preferably with exposure to broking.
Experience in conducting risk assessments and audits of a wide variety of complex financial systems.
Comprehensive knowledge and understanding of modern internal audit concepts and standards and their application to the financial services market. (additional training will be provided)
Experience of creating, developing and implementing audit strategies, policies and procedures.
Exposure to internal audit or Compliance functions to provide a professional service.
Experience in managing relationships and influencing change.
Proficient in information technology skills.
Experience of and enthusiasm for working in financial markets.
Interest in working internationally and willingness to travel. (expectation in region of 10%)
Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
Holding a relevant professional qualification would be advantageous
Company Values
Acting as a role model for the values of the Company:
Respect
– Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly.
Integrity
– Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do – our clients expect this and we demand it of ourselves.
Collaborative
– We work in teams – open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do.
Developing our People
– Our people are the basis of our competitive advantage. We look to “grow our own” and make Marex the place ambitious, hardworking, talented people choose to build their careers.
Adaptable and Nimble
– Our size and flexibility is an advantage. We are big enough to support our client’s various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction.
Conduct Rules
Act with integrity
Act with due skill, care and diligence
Be open and cooperative with the MAS and other regulators
Pay due regard to the interests of customers and treat them fairly
Observe proper standard of market conduct
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