Senior Associate - Governance, Risk & Compliance

Job Description

Execute client engagements as per project plans that are mainly focused in the Banking & Capital Markets space.

Create high quality and impactful deliverables in an efficient timely manner

Demonstrate and apply a thorough knowledge of business risks, control frameworks and audit procedures to understand, document, analyze and assess/audit client’s controls and processes

Assist an proposal development, project planning, project management, issue analysis, client presentation and reporting

Has continuous focus on improving the Quality and has a consistent record of doing the same

Suggests improvements to processes backed by data and sees the implementation through

Supports Associates on Quality aspects and conducts projects as required

Builds and sustains constructive relationships within the team and at the client


2 - 4 years Banking and Capital markets experience – Broker dealer environment

Strong exposure to some of the following: regulatory compliance, internal audit, operation risk and controls assessment

Good understanding of some of the following: GAAP; regulations such as SOX

Excellent communication skills, both verbal and written

Strong service delivery and quality orientation

Ability to work with minimal supervision

Exceptional interpersonal skills

CPA, CFE, CISA OR CIA certifications are a plus

Worked in Big 4 / Leading accounting firm / broker-dealer

Asset Management / Hedge Fund experience is a plus.



Job Code

State or Province

New Jersey

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