| Location: |
NJ-Jersey City
Mid-Atlantic (DE, DC, MD, NJ, NY, PA, VA & WV) |
| Salary Range: |
110,000 - 150,000 |
| Total Compensation: |
110,000 - 150,000 |
| Job Description: |
Job Summary & Responsibilities 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. • Project management and execution of risk based audits: o Planning and scoping audits, meeting with key people within the area being audited to understand the business and technology processes and identifying the key risks and controls to be assessed. o Preparation of the audit testing program and assessment of the adequacy of the design and operation of the controls associated with the key risks identified. o Assessment of the risks and impact of the issues identified and production and presentation of the audit report to management. o Follow up and tracking of remediation of management action plans to address issues identified during audits. • Client relationship management: o Maintenance and development of assigned internal client relationships. o Continuous monitoring of assigned business areas and ongoing risk assessment to feed into the overall risk based audit plan. o Ad hoc work on firmwide risk/control projects around new processes or activities and investigation of incidents. • Maintenance and development of Internal Audit relationships: o Ongoing liaison and coordination within Internal Audit colleagues globally o Knowledge sharing o People development • External stakeholder engagement: o Ongoing interaction and liaison with Regulators and External Auditors. |
| Education and Certifications/Licenses: |
Bachelor's, None, None |
| Mandatory Minimum Qualifications: |
Basic Qualifications • 7+ 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 |
| Preferred Qualifications: |
Preferred Qualifications • 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 • Relevant certification or industry accreditation (e.g., CPA, CFA, CIA, NASD Series) is a plus 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 |
| Benefits: |
|
| Overnight Travel: |
None Listed |
| Relocation Assistance: |
No |
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