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Internal Audit, Major Financial Institution
Compensation: $90,000 - $135,000K
Location: New York, NY
Job Number: A-020-093
Job Description:
The Financial Audit team supports the firm by appraising the reliability of internal controls, identifying areas for improvement and monitoring corrective action. The internal control structure is designed to ensure reliable financial reporting, compliance with applicable laws and regulations and effective operations. This group conducts audits and reviews and provides support to significant firm-wide compliance and control activities.
Financial Audit Specialists focus on planning and performing audits of business and support units across all areas of the firm. They may also be assigned to work on projects such as process flow redesign, reviews of new products and offices, and incident investigations. This opportunity is with the team that supports the firm’s trading, principal investing and investment banking activities.
Principal Responsibilities:
- Manage the overall execution of the audit plan. Provide status updates to senior management on plan progress.
- Work closely with technology auditors, audit senior management and external accountants to coordinate projects and discuss audit related issues.
- Assist in developing the scope of audit projects based on a risk assessment, with a focus on identifying high risk areas for audit testing.
- Assist in developing the risk control matrix and audit program for each audit.
- Execute audit testing and supervise junior team members to ensure audit fieldwork meets quality standards and agreed upon budgets and deadlines.
Job Requirements:
- 5-8+ years of experience in an audit or industry related role.
- Strong knowledge of Securities and Investment Banking activities (e.g., sales and trading functions, financing activities, financial instruments, derivative products, valuation, operational processes, regulations, etc).
- Relevant work experience in a broker-dealer business area or control function (e.g., Controllers, Operations, Compliance).
- Audit experience, preferably in public accounting or internal audit within the financial services industry.
- Strong understanding of risks and controls to design the scope and audit steps to test specific controls identified.
- Highly motivated and possess strong analytical and intellectual abilities.
- Strong verbal and written communication skills; strong leadership and interpersonal skills.
- Ability to execute multiple assignments and work collaboratively in a team environment.
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A.E. Feldman Associates, Inc. is an equal opportunity employment agency and it does not honor requests for any applicants based on race, gender, national origin, age and/or disability.
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