Senior Internal Audit Associate - Dodd-Frank/Volcker

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

The Commercial and Investment Bank (CIB) Dodd-Frank/Volcker Audit Team manages a program of audit coverage over the CIB’s regulatory compliance-related controls, including those over Dodd-Frank swaps and security-based swaps, Volcker and related areas in global, product-aligned and/or legal entity-aligned audits. Coverage of certain processes and controls requires engagement across other Lines of Business and Corporate Functions.

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

• Advanced Degree in relevant discipline

• Prior experience with Big 4 accounting firm and/or internal audit department in financial services industry