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Compliance Auditor Consultant - New York New York
Company: Michael Page Location: New York, New York
Posted On: 05/02/2024
The Compliance Auditor Consultant will perform preliminary assessments of the audited activity and its internal control framework. He/she performs independent testing and analysis on specific controls. He/she also contributes to drafting the debriefing presentation and the final report sent to Management. This role requires to be ON SITE 3 DAYS/WEEK. Client DetailsOur client is a french investment bank located in New York, NY. They primarily focuses on providing corporate and investment banking services to clients. These services may include investment banking, corporate finance, capital markets, structured finance, and advisory services. The New York office likely serves a wide range of clients, including corporations, financial institutions, governments, and institutional investors.DescriptionThe Compliance Auditor Consultant will be responsible for the following: - Independently carry out audit planning and fieldwork, following the guidelines provided by the Lead Auditor, within defined time frames and in accordance with Internal Audit standards and methodologies.
- Conduct preliminary assessments of audited activities, identifying associated risks and controls, and perform interviews, testing, and analysis to evaluate the effectiveness of planned controls.
- Assess the financial security risks of audited activities, including Banking Secrecy Act (BSA)/Anti-Money Laundering (AML), Know Your Customer (KYC), and International Sanctions, and identify relevant controls and their impact.
- Prepare clear, accurate, and comprehensive audit workpaper documentation, detailing test work performed, testing methodology, sampling approach (if applicable), findings, recommendations, and expected deliverable.
- Identify and report on strengths and weaknesses within audited areas, analyze root causes and risk impacts of identified weaknesses, develop remediation strategies and recommendations, and assess the effectiveness of control setups and business practices.
- Present audit conclusions to management, including IGE management and the management of the audited unit, through debriefing presentations, final audit reports, etc.
- Keep the Lead Auditor and Local Head of Audit informed of audit progress, escalate any issues impacting or delaying audit execution in a timely manner, and discuss relevant information on assigned audits and the risk and control environment.
- Collaborate with stakeholders, including compliance officers, internal auditors, and senior management, to address anomalies and findings identified during audits.
- Ensure proper archiving of supporting documentation, audit evidence, and deliverable using designated IGE tools.ProfileThe Compliance Auditor Consultant should have the following background:
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