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| Location: |
NJ-Jersey City
Mid-Atlantic (DE, DC, MD, NJ, NY, PA, VA & WV) |
| Salary Range: |
85,000 - 125,000 |
| Total Compensation: |
85,000 - 125,000 |
| Job Description: |
Internal Audit (IA) supports the Board of Directors’ Audit Committee and senior firm leadership in fulfilling their oversight roles by independently assessing the firm’s internal control structure, raising awareness of control risk, providing advice to management in developing control solutions, and monitoring the implementation of management’s control measures. IA is comprised of the following global functional audit teams covering the various business areas of the firm: Capital Markets, Investment Management, Corporate, Enterprise, and Technology. Business Audit Associate General Responsibilities: • Develop and maintain an in-depth understanding of business areas, its products, and supporting functions • Execute audit testing and supervise junior team members to ensure audit fieldwork is focused on the right areas and documentation meets high quality standards • Identify risks, assess mitigating controls, and make recommendations on improving the control environment • Prepare commercially effective audit conclusions and findings, and present to IA senior management and business clients • Follow-up on open audit issues and their resolution • Participate in department-wide initiatives aimed at continually improving IA’s processes and supporting infrastructure |
| Education and Certifications/Licenses: |
Bachelors, None, None |
| Mandatory Minimum Qualifications: |
General Skills and Experience: • Team-oriented with a strong sense of ownership and accountability • Strong leadership, interpersonal, and relationship management skills • Strong verbal and written communication skills • Solid analytical skills • In-depth technical knowledge of relevant product areas • Highly motivated with the ability to multi-task and remain organized in a fast-paced environment • 4-8 years of experience in a public accounting or internal audit role within the financial services industry or a related control function • 4-year degree in a finance, accounting, or quantitative discipline, and ideally a graduate degree in a related subject • Relevant certification or industry accreditation (e.g., CPA, CFA, CIA, NASD Series) is a plus |
| Preferred Qualifications: |
Team/Product Specific Skills and Experience: Capital Markets Team: • Solid knowledge of Securities, Investment Banking, and related business support functions, including: o Sales and trading of cash, derivative and structured products across FICC (Interest rate products, credit products, Mortgages, Currencies and Commodities) and Equities (listed and OTC trading - shares, options, and futures), o Prime brokerage, securities lending, and execution services o Principal investments o Trading risk management, modeling, P/L reporting, and valuation of financial products, o Trade processing, clearing and settlement. o Compliance with trading rules and regulations o Equity and debt underwriting, financing, and investment banking advisory activities. o Investment research Investment Management Team: • Solid knowledge of Asset Management, Private Wealth Advisory, or Private Equity businesses and supporting activities, including: o Mutual Funds, Hedge Funds, and Fund-of-Funds, including quantitative and fundamental strategies, sales and distribution o Equities and fixed income products and related risk management activities o Private equity investments in securities, infrastructure, and real-estate o Private wealth advisory and client services Corporate Team: • Solid knowledge of investment or commercial banking control functions and risk management activities, including: o Credit Risk Management o Market Risk Management o Operational Risk Management o Corporate Treasury and Liquidity Risk Management o Financial and Regulatory Reporting o Tax o Legal and Compliance o Corporate Governance o Anti-Money Laundering • Solid understanding of financial concepts and/or operations related to credit, interest rate, equity and commodity products. Knowledge in any of the following areas are preferred: o Risk Measurement theory (e.g., Value-at-Risk(VaR), stress testing, potential exposure) o Basel I / Basel II regulatory requirements, o Controls surrounding modeling, counterparty risk assessment, credit valuation adjustment, risk reporting, and risk governance Enterprise Team: • Solid knowledge of corporate functions including: o Human Resources o Corporate Services o Real-Estate Management o Compensation Accounting o Employee and Physical Assets Security Bank USA Team: • Solid understanding of one or more of the following areas: o Corporate Governance o Consumer Compliance o Regulatory Reporting o Credit/Market/Operational/Liquidity Risk Management o Regulation W (23A and 23B) o Community Reinvestment Act o Bank Secrecy Act/Anti-Money Laundering • Experience with relevant regulatory agencies (e.g., FRB, NY State Banking Department, FDIC) is a plus |
| Benefits: |
|
| Overnight Travel: |
None Listed |
| Relocation Assistance: |
No |
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