A top financial services firm is looking to hire a Senior Internal Auditor to join its team in New York. This person will report directly to the Head of Internal Audit and at a high level, will be responsible for independently performing end to end audits, identifying risks across multiple business lines, reviewing processes and controls for annual SOX and Compliance testing, and communicating audit findings and recommendations to senior management.
The ideal candidate will have 4+ years of experience in Audit, the ability to independently lead end to end audits across multiple business lines, and Broker Dealer / Capital Market exposure would be a plus.
- Plan and conduct multiple internal audits across the firm's operations and multiple lines of business including asset management, investment management, broker dealer and investment banking
- Review processes and controls, evaluate test results, and present all audit findings/ recommendations to senior management
- Prepare and maintain audit documentation and ensure business lines are compliant with audit standards, schedules, and regulatory expectations
- Work closely with the 1st and 2nd line of defense while keeping a proactive and independent risk view
- 4+ years of experience in Audit or Risk Management
- Capital Markets, Broker Dealer or Asset Management experience is preferred
- Excellent communication skills and the ability to collaborate with senior management and key stakeholders across the business