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Posted: Thursday, December 14, 2017 12:07 AM


Linium - New York, NY

We are searching for an Audit Associate with Financial Services (Broker/Dealer, Banking) audit experience to join the team responsible for auditing the primary business and secondary sales/trading business as well as being involved in audits with the broader Wholesale Businesses.

Strong audit/internal controls experience in the Financial Services Industry is preferred.

Key responsibilities:

Execute an efficient and effective program of audit work

Lead interviews of process owners to develop understanding of business processes, client's business

Identify potential risks and controls, and assist in developing scope and work programs

Evaluate internal controls design and effectiveness

Identify control weaknesses and suggest appropriate remediation

Document results using appropriate business and technical language in workpaper system

Report findings and client issues to managers

Complete work on a timely basis and with high quality

Maintain compliance with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations

Build relationships with peers and clients within organization

Act as a leader and role model and continuously improve self and department

Skills and experience:

Bachelor's degree and 4+ years of Internal Audit experience/internal controls or Big 4 assurance experience in Financial Services Industry

Product knowledge and experience (Investment Banking, Fixed Income & Equity Trading/Sales,

Back Office Operations (Clearance/Settlement), Wholesale Banking, Transaction Banking)

Experience with the Financial Services industry and related markets and related regulatory bodies.

Preferred knowledge of relevant regulatory requirements (including Volcker, Dodd-Frank/Swap Dealers, Client regulations)

Ability to identify and understand controls in changing environments

Ability to perform risk assessments and analyze risk trends at a macro level, identifying signs of changing risk levels and/or symptoms of process control breakdowns

Solid understanding of product lifecycle risks and controls

Critical thinking, analytical, and project management skills

Ability to interact and communicate effectively with senior leadership and staff at all levels

Strong oral and written communication

Personal requirements:

Excellent communication/interpersonal skills

Results driven, with a strong sense of accountability

A pro-active, motivated approach

The ability to operate with urgency and prioritize work accordingly

The ability to manage large workloads and tight deadlines

Strong decision making and problem solving skills, the ability to demonstrate sound judgment

A structured and logical approach to work with excellent attention to detail and accuracy

To apply for this position please send your resume to

Ideal candidates will have a mininum of 3 years of experience in Audit working with either

Broker-Dealers, IB or top tier public accounting firms in the FSO group.

• Location: Manhattan

• Post ID: 143963417 newyork is an interactive computer service that enables access by multiple users and should not be treated as the publisher or speaker of any information provided by another information content provider. © 2017