Internal Auditor for New York City Local Only

Job Title : Internal Auditor

LOCAL TO NY ONLY!

Location: NY/NJ only [Expected to work in client location at NYC for 3 days a week without exception]

 

Wealth Management Internal Audit role focused on Regulatory Reporting business requires a candidate to act as the "third line of defense," independently assessing the firm's internal control structure. For Stockplan-specific operations, this involves evaluating compliance with SEC and FINRA rules, particularly regarding trade reporting and employee equity compensation.

 

Core Responsibilities

• Audit Lifecycle Management: Lead and execute audits across planning, scoping, testing operational design effectiveness, fieldwork, closure verification/validation and reporting phases within the Wealth Management business.
• Regulatory Reporting Evaluation: Assess the adequacy and accuracy of various regulatory reports submitted to authorities. This includes performing walkthroughs to document process flowcharts and narratives.
• TRACE, CATS Oversight: Validate the accuracy of Trade Reporting and Compliance Engine (TRACE), Consolidated Audit Trail (CAT).
• This involves:Investigating and calling out anomalies via reporting
• Coordinating the remediation of reported anomalies thru’ documentation and revision of controls
• Stockplan/Wealth Compliance: Audit operations for compliance with fiduciary standards (e.g., OCC Reg 9) and test controls over electronic communications as per FINRA/SEC rules.
• Remediation & Validation: Follow up on open audit issues and perform validation testing on management's completed remediation plans.

Required Skills and Qualifications:

• Technical Knowledge: Deep understanding of investment vehicles, wealth management products, and financial regulations.
• Audit Standards: Proficiency in internal auditing standards preferably for large banks in Wall Street or UBS, HSBC, etc..
• Experience: typically 3–7 years in internal audit, internal controls assessment, or wealth management compliance.

 

Education & Certifications: Bachelor's degree in Accounting, Business, or Economics. Preferred certifications include:

• Certified Internal Auditor (CIA) or CPA.
• FINRA Series 65 or 66.
• Certified Financial Planner (CFP).

--
You received this message because you are subscribed to the Google Groups "NoviaJobs" group.
To unsubscribe from this group and stop receiving emails from it, send an email to noviajobs+unsubscribe@googlegroups.com.
To view this discussion visit https://groups.google.com/d/msgid/noviajobs/CAHbN6FZ6XHhpKebwWgjeRUD7x-8asma_SwXxL3zWQ7pabJN6Ow%40mail.gmail.com.