Senior Audit Strategist - Capital Markets

Location:

Job Summary
The Senior Audit Strategist will, under the general direction of management, be responsible for the development of sustainable audit strategies for the completion of the three phases of a risk review: Planning, Fieldwork and Reporting. This will include completion of walkthroughs, interacting with line of business personnel, performing and documenting testing of internal controls, ensuring adherence to required laws and regulations, drafting findings, reporting deliverables, as well as identifying risks and controls associated with the various business functions. During the course of a risk review, the Senior Audit Strategist will be asked to serve as the lead on some of the most complex reviews, while managing assigned staff and delivering feedback on performance. The Senior Audit Strategist may also participate on ad-hoc projects, ongoing risk intelligence activities and risk review related trainings.

The Capital Markets Internal Audit Team is responsible for providing independent and objective perspective on KeyCorp's processes and risks through assessment and testing of the adequacy and effectiveness of Key's risk management policies and practices, and adherence to applicable laws and regulations.  The Capital Markets team performs audits of capital markets activities across the organization including but not limited to: Investment Banking, Fixed Income, Equities, Equity Research, Foreign Exchange, and Interest Rate and Commodity Derivatives. The Capital Markets Internal Audit Team is also responsible for evaluating retail brokerage activities, counterparty credit, the Market Risk Rule, the Volcker Rule, registered investment advisor (RIA) and swap dealer regulatory requirements.

Responsibilities

• Demonstrate advanced understanding of audit concepts within planning, fieldwork and reporting, as well as workpaper documentation, audit findings, and audit reports.
• Independently monitors for changes and best practices in area of subject matter expertise; provides updates to RRG senior leadership and/or staff as appropriate.
• Exhibit advanced leadership skills by leading or providing oversight on complex stand-alone and integrated reviews or ad-hoc projects, while managing staff and deliver feedback on performance.
• Prioritize and execute multiple assignments; identify obstacles within the scope of assignments; proactively communicate delays in assigned deliverables or additional capacity availability; effectively delegate work when necessary.
• Consistently demonstrate advanced business writing skills and cohesively present information effectively to others including the delivery of audit findings and other audit matters to senior and executive management.
• Exhibit a foundational understanding of product skills and business, industry and regulatory concepts and also be considered a Subject Matter Expert (SME) in a specific risk discipline, small number of products or lines of business.
• Performs other duties as assigned; duties, responsibilities and/or activities may change or new ones may be assigned at any time with or without notice
• Complies with all KeyBank policies and procedures, including without limitation, acting professionally at all times, conducting business ethically, avoiding conflicts of interest, and acting in the best interests of Key’s clients and Key.

Education Qualifications

• Bachelor's Degree (preferred)

Experience Qualifications

• 3+ years of relevant Audit experience (preferred)
• Experience with SEC Registered Investment Advisor (RIA) requirements (preferred)

Licenses and Certifications

• Certified Public Accountant (CPA) (preferred)
• Certified Internal Auditor (CIA) (preferred)
• Certified Fraud Examiner (CFE) (preferred)
• Series 7 (preferred)

Tactical Skills

• Ability to leverage business acumen to provide insights to leaders within area of expertise.
• Ability to guide staff and deliver feedback on performance.
• Develop relationships with clients; thoughtfully engage in networking with those on your team, within the RRG and across Key, to build lasting relationships.
• Demonstrates the ability to contribute to an organizational culture of respect and personal accountability regarding Diversity and Inclusiveness.

Personal Skills

• Adaptability: Demonstrates a willingness to listen to other opinions and adjusts to new or changing assignments, processes, and people while avoiding snap reactions
• Collaboration: Demonstrates experience in participating in productive collaborative processes that help solve business problems and meet business goals
• Critical Thinking: The ability to identify, obtain, and organize relevant data and ideas and prioritize concerns in the decision-making process
• Decision Making: The ability to select the right activities to work on from a range of competing priorities and stands by decisions in the face of conflict or unexpected outcomes
• Problem Solving: Leverages varying problem-solving approaches and techniques to analyze and synthesize information and devise resolution strategies; ensure capture of lessons learned from the problem-solving effort

Practical Skills

• Analytical Thinking: Uses logic and intuition to make inferences about the meaning of data and arrives at relevant conclusions; makes a systematic comparison of two or more alternative solutions
• Business Acumen: Demonstrates a big picture understanding of the business, its interrelationships, and priorities; demonstrates strong foundations of business fundamentals, measurement, and business finance
• Change Navigation: Articulates the rationale for, and positive and negative consequences of change so as to help others adapt; encourages exploration of non-traditional ideas by team members leveraging the concept of continuous improvement
• Data Analysis: Demonstrates a basic understanding of the concepts underlying data analytics and lists the major sources for collecting data and conducting data analysis
• Oral & Written Communication: Possesses the ability to adapt listening and facilitation style to others’ communication styles and uses various approaches appropriately and effectively

Core Competencies

• All KeyBank employees are expected to demonstrate Key’s Values and sustain proficiency in identified Leadership Competencies.

Physical Demands

• General Office - Prolonged sitting, ability to communicate face to face in person or on the phone with teammates and clients, frequent use of PC/laptop, occasional lifting/pushing/pulling of backpacks, computer bags up to 10 lbs.

COMPENSATION AND BENEFITS

This position is eligible to earn a base salary in the range of $110,000 to $130,000 annually depending on job-related factors such as level of experience. Compensation for this role also includes eligibility for short-term incentive compensation and deferred incentive compensation subject to individual and company performance.

Please click here for a list of benefits for which this position is eligible.

Key has implemented a role-based Mobile by Design approach to our employee workspaces, dedicating space to those whose roles require specific workspaces, while providing flexible options for roles which are less dependent on assigned workspaces and can be performed effectively in a mobile environment. As a result, this role may be Mobile or Home-based, which means you may work primarily either at a home office or in a Key facility to perform your job duties.

KeyCorp is an Equal Opportunity and Affirmative Action Employer committed to building a diverse, equitable and inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or other protected category.

Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing HR_Compliance@keybank.com.

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