Senior Internal Audit Associate - Prime Financial Services

Our Internal Audit group is an independent function accountable to the Audit and Examining Committee of the Board of Directors, the Office of the Chairman, senior management and our global and local regulators. Internal Audit is comprised of more than 1,200 auditors, located in key locations across the globe, and is responsible for assessing the adequacy of the control environments across the firm's lines of business

We are looking for a fast-learner who can work independently and collaborate well with team members. As a Senior Auditor, Associate, in our Internal Audit group you will strengthen internal controls.

This is an exciting opportunity to join the Corporate and Investment Bank audit team. Our team primarily covers Prime Financial Services.  You will be involved in all aspects of the audit lifecycle including planning, fieldwork and reporting. This is a highly visible role where you will have exposure to senior executives across the bank. 

Job responsibilities

• Plan, execute and document audit reports, including risk assessments, audit planning, audit testing, control evaluation, report drafting and follow-up and verification of issue closure while ensuring audits are completed timely and within budget
• Work closely with global Audit colleagues in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders
• Recognize the confidential nature of Internal Audit communications and access to information; you must be disciplined in protecting the confidentiality and security of information in accordance with firm policy
• Partner with stakeholders, business management, other control groups (i.e. risk management, compliance, fraud prevention), external auditors, and regulators establishing strong working relationships while maintaining independence
• Finalize audit findings and use judgment to provide an overall opinion on the control environment through developing recommendations to strengthen internal controls
• Take ownership of self-development, including stretch assignments, to prepare for greater responsibilities and career growth, and take initiative to seek out opportunity for continued learning
• Stay up to date with industry trends to identify opportunities for game changing innovations or strategic partnerships

Required qualifications capabilities and skills

• 5 years of internal or external auditing experience, or relevant business experience
• Bachelor's degree (or relevant financial services experience)
• Experience with internal audit methodology and applying concepts in audit delivery and execution
• Solid understanding of internal control concepts, with the ability to evaluate and determine the adequacy of controls by considering business and technology risks in an integrated manner
• Strong interpersonal and influencing skills, with the ability to establish credibility and build strong partnerships with senior business and control partners
• Strong analytical skills particularly in regard to assessing the probability and impact of an internal control weakness
• Flexible to changing business priorities and ability to multitask in a constantly changing environment

Preferred qualifications capabilities and skills

• Exposure to Prime Financial Services and/or Equities Trading Businesses
• CPA, CIA, and/or Advanced Degree in Finance or Accounting
• Prior experience with Big 4 accounting firm and/or internal audit department in financial services industry