AVP, Internal Audit

Full Time

Investment Banking Client

Office Status: Hybrid

A reputable boutique investment bank that specializes in M&A, equity trading and private equity investments is building out its audit team. They had a very strong 2021 and positioned to grow. The company has around 800 employees in the US and Canada and are focused on building out their US Operations team specifically internal audit which will sit in NYC (2x a week).

They are flexible on the job title. This role will report directly into the Head of Audit and cover all business lines at the firm. This is much different than a bulge bracket bank where audit roles may be siloed and only focused on 1 business unit. This is a company that values the audit team, they look to them for guidance on risk assessment projects, building and testing controls and providing strategic advice to the business.

The firm works great hours and will have flexibility to work from home 3x a week.

Details:

  • Plan and execute audit engagements covering areas including financial, regulatory, operational as assigned in a manner that adheres to department standards including, scheduling interviews with process owners, requesting control documentation, conducting fieldwork and communicating audit results.
  • Ensure working papers and files (both on-line and hard copy) adhere to department standards.
  • Deliver draft reports and supporting documentation within two weeks of completion of fieldwork.
  • Provide recommendations in reports that are well thought-out (i.e. determine effect on other areas of the organization), practical and written in a format that can be delivered directly to Executive Management and the Board.
  • Provide regular reporting on testing progress and issues encountered.
  • Manage and maintain relationships with primary auditees.
  • Coach team members in areas where the candidate is the subject matter expert.

Qualifications:

  • 3-6 years of audit experience from a public accounting firm or financial institution
  • CPA is a plus
  • Financial services experience
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