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Senior Associate - Governance, Risk & Compliance
Job Description
Responsibilities:
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
Qualifications:
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.
Company
EXL
Job Code
State or Province
New Jersey
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