Senior Analyst, U.S. Finance Audit

Banque Scotia (Bank of Nova Scotia)•Dallas, TX

65d

About The Position

Contributes to the overall success of US Finance and Regulatory Reporting audits. The senior analyst assists in ensuring successful audit coverage and initiatives, making sure all activities comply with governing regulations, internal policies, and procedures. The senior analyst is responsible for the audit's aspects, including the planning, execution, and reporting phases. They will also be involved in validating internal and external issues and conducting ongoing audit monitoring activities.

Requirements

2+ years of banking/broker-dealer activities in audit and/or financial reporting
4+ years of relevant experience in auditing financial and reporting controls, specifically, financial close, financial and management reporting, booking model, financial projection & analysis, and product control, SOX controls, control activities (e.g., variance analysis, application of manual adjustments, and management review and approval).
Experience with analytical and problem-solving in the context of a finance department at a banking organization.
Understanding of a product mix, including securities, loans, and derivatives
Understanding of internal audit methodology and principles
Strong written communication and interpersonal skills

Nice To Haves

Certification: CPA, CIA, CFA plus
Big 4 experience plus
Banking/broker-dealer regulatory reporting plus

Responsibilities

Champion a customer-focused culture to enhance client relationships and utilize broader Bank resources, systems, and knowledge.
Lead and assists in designing and conducting effectiveness tests to ensure adequate controls over finance functions (e.g., banking & broker-dealer activities/reporting) and validate source documents.
Maintain a thorough understanding of the business, risks, and processes for assigned areas.
Assist in reviewing outstanding issues related to source validation, reporting, and controls. Perform analysis to identify themes, determine the root cause of weaknesses, and prepare reports to communicate the test findings as needed.
Maintain effective communication with stakeholders, including appropriate handling of conflicts and issue resolution.
Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
Responsible for assisting in the development of appropriate audit plans/activities for assigned areas (e.g., banking & broker-dealer regulatory reporting, financial reporting, product control, human resources, taxation).
Actively assist OIC (Officer-in-Charge) in defining the scope of audits, including alignment with the title and coverage of in-scope processes sufficient to provide holistic assurance, including integration with global processes as applicable.
Actively assist OIC in delivering well-crafted and impactful audit issues aligned with the client's understanding of their environment, clearly identifying the need for meaningful change, with recommendations and expected evidence of remediation that address the established root cause.
Maintain a high-performance environment through self-assessment and continuous learning.
Implement potential data analytics use cases (e.g., using Alteryx, PowerBI) and develop continuous auditing as required.
Contribute to an inclusive work environment.