Senior Internal Audit - Capital Markets
Full Time
New York, NY 10008
Up to $150,000 a year
Posted
Job description
We are currently on a search for one of our Top Tier Investment Banking firms that is currently looking for a Internal Audit Professional to join their growing team. This is an excellent opportunity to be part of the Markets and Investment Management Audit Team (MARK). The group has four distinct mandates: i) cover the Markets & Investment Management businesses from Front to Back in the Americas; ii) cover Risk management teams (second line of defense) focused on four risk stripes namely Market, Counterparty, Model and Liquidity Risk; iii) cover Compliance to markets related regulations related to these businesses and iv) cover the broad Finance organization.
Some of the Job Responsibilities will include:
- Familiarity with compliance related reviews, including key regulations surrounding Futures Commissions Merchant (FCM) and Broker-Dealer activities, and key regulators such as the CFTC, NFA, SEC, FINRA
- Working independently and responsibly on assigned tasks
- Actively participating in all stages of the audit process: planning, testing, report drafting, and recommendation follow-up
- Participating or leading periodic continuous monitoring meetings and annual risk assessments
- Effectively communicating with auditees, developing a good relationship, anticipating and understanding any potential issues, and timely escalating when there is an issue
- Analyzing assigned business processes, procedures, risks; and evaluating the internal controls to facilitate adopting a risk-based approach
- Preparing high quality workpapers that support any findings and conclusions
- Participating in department wide transformation projects, actively contributing to the changes and demonstrating readiness and willingness to apply the changes
The role will be in a Hybrid model out of the New York, NY Office. Compensation package will include Base Salary (up to $150,000 base) + Bonus + PTO + Benefits.
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