Associate - Internal Audit

Associate - Internal Audit

Primary Responsibilities:

- Directly assist in the maintenance of a dynamic audit universe, providing updates to the risk assessment by identifying new activities and significant changes to businesses

- Conduct formal assurance audit and advisory review engagements identified by Internal Audit management across the full spectrum of the audit cycle of planning, fieldwork and reporting.

This includes:

- Identification and evaluation of key processes, risks and controls

- Preparation of audit programs, standardized workpapers and other procedures to walkthrough, evaluate and test controls.

- Preparation and communication of findings as well as action plans to remediate any control deficiencies.

- Preparation of key audit documents (e.g., audit announcement memos, planning documents, audit reports) for management review.

- Establish and continually build relationships with business line and control functions at all levels

- Monitor and report on the disposition and status of findings and conduct validation procedures to substantiate remediation as necessary.

- Collaborate with others in Internal Audit and across the firm on risk and control related initiatives

- Keep abreast of industry and product specific developments and raise any risk and control related topics of interest to Internal Audit Management.

- Strong attention to detail.

- Promote the Department's value proposition.

- Relevant experience in internal audit (or similar/related function) at complex financial services firms, or in external audit covering the financial services industry.

- Must understand internal auditing theory and techniques, including types of controls and testing procedures, as well as related workpaper standards.

- Strong organizational and documentation skills (ability to write succinct and cohesive process narratives, control descriptions, issues statements, findings and action plans).

- Strong oral communication skills and confidence.

- Ability to multi-task and work in a fast-paced team-oriented environment.

- Ability to take direction and execute successfully with minimal supervision.

In addition, the ideal candidate will be or have:

- CIA, CFSA or CPA certifications is a plus, but not required.

- Direct experience with registered investment advisors, broker-dealers, and/or alternative investment management businesses is a plus, but not required.

- Proactive in completing projects, risk assessments, and finding validation procedures

- Able to adapt and learn quickly within the constant evolution of the company and industry

- Responsive to the team and client's needs.

- Collaborative and energized by the open exchange of ideas.