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VP Internal Audit - Broker Dealer & Capital Markets
Ref No.: 17-03020
Location: New York, New York
Position Type:Full Time
Pay Rate : $ 130,000.00 - 150,000.00 /Year
Primary Responsibilities:
Execute audit programs in a timely manner and in accordance with internal audit policies, procedures, methodologies, and the Standards for the Professional Practice of Internal Auditing.
Provide input and assist in the identification of relevant regulatory requirements for incorporation as part of the audit scope and work program.
Interact with management and staff to obtain an understanding of the relevant risks, controls, and processes.
Communicate and discuss findings with business unit management.
Develop audit reports which identify deficiencies and underlying root causes; provide recommendations to mitigate/address deficiencies while adding value to the organization.
Conduct research and successfully complete assigned training requirements necessary to maintain relevance.
Establishes relationships with business and auditors to meet the operational needs of the organization.






Preferred Qualifications, Skills & Experience:

A Minimum of 5 years of professional experience in internal auditing for Banks or other financial institutions;
Experience in conducting focused internal audits in several areas including Wealth Management; Brokerage; Trading; Asset Liability Management and Market Risk.
Detailed knowledge of products and services provided within a Global Wealth Management business including investment management, and specialty wealth advisory services, brokerage, and banking. Knowledge of applicable laws and regulatory requirements banking and broker/dealer regulations
Strong project/task management skills, ability to influence cross-functionally in a rapidly evolving business environment while managing multiple / concurrent projects;
A Bachelor's degree from an accredited college or university – preferably in a relevant field of study (i.e., Accounting, Finance, Economics Statistics; Data Science; MIS, Engineering; Math);
Required Client License and Registration.
Relevant professional certification preferred or working towards certifications. Examples include: CRCM - Certified Regulatory Compliance Manager, CCBCO – Certified Community Bank Compliance Officer, CAMS – Certified Anti-Money Laundering Specialist, CPA – Certified Public Accountant, CIA – Certified Internal Auditor, and/or CRMA – Certified in Risk Management Assurance;
Strong planning skills necessary to ensure the effective and timely completion of assignments;
Communicates effectively. Demonstrates clear, concise and accurate, written and verbal communications,
Requires strong analytical skills necessary to facilitate informed decision-making about the issues at hand.
Requires strong risk assessment skills and the ability to apply those skills sets in the development of engagement scopes/surveys, and work programs.
Technology savvy – understand and use Bank and compliance software, hardware and technology.
Strong business acumen and problem solving ability.

Travel:
Potential for 5% domestic travel