This job ad has been posted over 40 days ago...
Wealth Management Audit Associate
at The Compliance Search Group in Connecticut
The successful candidate would perform in a pro-active capacity by performing the following key functions/duties:
Obtain and review background information, reference materials, business texts and other relevant literature to help develop an appropriate planning approach.
Assess inherent business risks and determine if key controls exist to mitigate those risks.
Evaluate the adequacy of design and effectiveness of key controls and potential business concerns.
Document the results of work performed. The extent of documentation would include proper cross-referencing, checklists, indexing, documentation maintenance, documented exception follow-up procedures, etc.
Develop audit findings and document business concerns, risks, root causes, and recommendations in writing for inclusion in the Audit Report. Present/communicate observations to line management. Secure formal management responses to audit recommendations.
Hold follow-up meetings concerning open audit actions with line management quarterly.
Background and Experience
Two to four+ years of audit and/or equivalent business work experience in financial services, broker/dealer, large bank and/or public accounting.
B.S. or B.B.A. degree in business including Economics, Finance, Accounting, etc.
A good understanding of the concepts of operational and financial business risks and controls. Perform complex/challenging tasks specifies in audit/review procedures with minimal oversight.
Good interpersonal skills.
Good awareness of the financial services industry.
Financial services audit experience, including trading desks, securities operations, Product Controllers, Risk Management and Compliance desired but not a requirement.
Occasional travel will be required
CPA or CIA audit qualification a plus.
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com
Obtain and review background information, reference materials, business texts and other relevant literature to help develop an appropriate planning approach.
Assess inherent business risks and determine if key controls exist to mitigate those risks.
Evaluate the adequacy of design and effectiveness of key controls and potential business concerns.
Document the results of work performed. The extent of documentation would include proper cross-referencing, checklists, indexing, documentation maintenance, documented exception follow-up procedures, etc.
Develop audit findings and document business concerns, risks, root causes, and recommendations in writing for inclusion in the Audit Report. Present/communicate observations to line management. Secure formal management responses to audit recommendations.
Hold follow-up meetings concerning open audit actions with line management quarterly.
Background and Experience
Two to four+ years of audit and/or equivalent business work experience in financial services, broker/dealer, large bank and/or public accounting.
B.S. or B.B.A. degree in business including Economics, Finance, Accounting, etc.
A good understanding of the concepts of operational and financial business risks and controls. Perform complex/challenging tasks specifies in audit/review procedures with minimal oversight.
Good interpersonal skills.
Good awareness of the financial services industry.
Financial services audit experience, including trading desks, securities operations, Product Controllers, Risk Management and Compliance desired but not a requirement.
Occasional travel will be required
CPA or CIA audit qualification a plus.
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com
Published at 25-03-2010
Viewed: 64 times
Viewed: 64 times