Internal Audit-New York-Associate-Regulatory Relations
About The Position
Internal Audit’s (IA) mission is to independently assess the firm’s overall control environment, including the firm’s governance processes and controls, and risk management and capital and anti-financial crime frameworks. IA also supports the Board of Directors' Audit Committee by providing independent, objective and timely assurance and is a function designed to assist the Audit Committee, management and regulators by: Communicating and reporting on the effectiveness of the firm’s governance, risk management and controls that mitigate current and evolving risks; Raising awareness of control risk; Assessing the firm’s control culture and conduct risks; and Monitoring management’s implementation of control measures IA is comprised of global functional audit teams covering the various business areas of the firm: Asset & Wealth Management, Platforms Solutions, Finance, Compliance, Global Banking & Markets, and Engineering. Our group has unique insight on the financial industry and its products and operations. Based on IA’s responsibilities, we have extensive interactions with various regulators. We are looking for a detail-oriented individual who has an interest in financial markets and want to gain insight into the firm’s operations and control processes. As the liaison between IA and the regulators on matters of regulatory compliance, the Regulatory Relations Team works closely with the various IA functional teams. The team is responsible for overseeing the examination process and coordinating regulatory interactions for IA.
Requirements
- Undergraduate degree in finance, accounting or other quantitative discipline
- Minimum of 3 years of experience in financial analysis / accounting, operational management, reporting and analysis, or project/portfolio management
- Highly organized and detail-oriented with excellent multi-tasking and follow-through ability
- Strong project and time management skills
- Good communicator who can manage multiple stakeholders, keen to drive consensus and influence the outcomes
- Strong interpersonal, verbal and written communication skills
- Proficient in Microsoft Excel, Word, PowerPoint and SharePoint or other Business Intelligence (BI) tools
- Solutions and innovation minded with strong analytical and problem-solving skills, including process re-engineering, the ability to organize and analyze and report results to various audiences
- Energetic, self-directed and self-motivated, able to build and sustain long-term relationships with teammates and colleagues
Responsibilities
- Ensure that incoming regulatory matters that concern IA are appropriately tracked
- Work with the IA functional teams regarding regulatory information requests and responses
- Provide best practices for regulatory interactions, submissions and meeting management
- Monitor teams progress in completing undertakings made to regulators during the course of inquiries and exams, among other responsibilities
- Optimize processes using automation and standardization to ensure regulatory matters are tracked and maintained with efficiency, effectiveness and consistency
- Conduct internal data analytics, visualization and process optimization to facilitate production of metrics for senior management reporting
- Participation in corporate governance groups supporting regulatory matters
- Escalate situations, as appropriate, to relevant senior leadership
- Execute and manage ad-hoc projects
- Maintain a centralized warehouse for documents related to requests, responses and commitments
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
