Internal Controls Analyst

Full Time

Investment Banking Client

Office: Hybrid

Salary Range: $100,000-$125,000

Global investment bank with a growing presence in the US is building out a new controls function to support risk analysis for their capital markets business and new swap dealer that was just launched. This is a brand new function at the firm. There is extensive exposure to senior business stakeholders including front office executives. This team is being viewed as a project management and internal advisory function firm wide. They are working on a hybrid work schedule and have excellent benefits.


  • Assist in the preparations of annual business & entity level related internal controls scoping assessment, as well as on-going risk assessments and risk data gathering in accordance with COSO 2013
  • Assist in COSO 2013 and Japanese SOX (“J-SOX”) business & entity level process documentation, including flowcharts & key controls matrices, through management of the Company’s periodic COSO 2013/J-SOX certification process
  • Assist with the evaluation of impact of service organizations for ICFRR
  • Assist in building and maintaining a collaborative relationships with Internal and External Auditors in order to ensure that the COSO 2013/J-SOX testing and audit procedures related to business/entity level controls are executed in an effective and efficient manner
  • Assist in developing strong relationships with key business/entity level stakeholders in order to identify areas of risk, while also preparing business partners and business process owners to properly execute COSO 2013/J-SOX requirements
  • Assist in managing the remediation of business/entity level related internal control design and operating effectiveness deficiencies, including liaising with cross-functional remediation teams and documentation of the summary of aggregated deficiencies
  • Assist with the preparation and provide annual internal control related training with team leads.
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